WO0073929
Publication Title:
A SYSTEM, METHOD, AND ARTICLE OF MANUFACTURE FOR
EFFECTIVELY CONVEYING WHICH COMPONENTS OF A SYSTEM ARE
REQUIRED FOR IMPLEMENTATION OF TECHNOLOGY
Abstract:
Abstract of WO0073929
A system, method and article of manufacture are provided for effectively
conveying which components of a system are required for implementation. A
pictorial representation of the system is first displayed which includes various
components of the system. Next, the components of the system are indicia
coded in order to indicate which components are required for the implementation
of the system. Data supplied from the esp@cenet database - Worldwide
Courtesy of http://v3.espacenet.com
This Patent PDF Generated by Patent Fetcher(TM), a service of Stroke of Color, Inc.
(12) INTERNATIONAL APPLICATION PUBLISHED UNDER THE PATENT COOPERATION TREATY (PCT)
(19) World Intellectual Property Organization
International Bureau
llilllllllillllllllllllllllilllllllllllllllilllllli
(43) International Publication Date (10) International Publication Number
7 December 2000 (07,12.2000) pCT WO 00/73929 A2
(51) International Patent Classification^: G06F 17/00
(21) International Application Number: PCT/USOO/14457
(22) International Filing Date: 24 May 2000 (24.05.2000)
(25) Filing Language: English
(2(») Publication Language: English
(30) Priority Data:
09/321,136 27 May 1999 (27.05. 1999) US
(71) AppUcant: ANDERSEN CONSULTING LLP [US/USl;
100 South Wacker Drive, Chicago. XL 60606 (US).
(81) Designated States (national): AE, AG, AL, AM, AT, AT
(utility model), AU, AZ, BA, BB, BG, BR, BY, CA, CH,
CN, OR, CU, CZ, CZ (utility model), DE, DE (utiHty
model), DK, DK (utility model), DM, DZ, EE, EE (utility
model), ES, FI, FX (utility model), GB, GD, GE, GH, GM,
HR, HU, ID, IL, IN, IS, JP, B^E, KG, KP, KR, KR (utility
model), KZ, LC, LK, LR, LS, LT, LU, LV, MA, MD, MG,
MK, MN, MW, MX, MZ, NO, NZ, PL, FT, RO, RU, SD,
SE, SG, SI, SK, SK (utility model), SL, TJ, TM, TR, TT,
TZ, UA, UG, UZ, VN, YU, ZA, ZW.
(84) Designated States (regional): ARIPO patent (GH, GM,
KE, LS, MW, MZ, SD, SL, SZ, TZ, UG, ZW), Eurasian
patent (AM, AZ, BY, KG, KZ, MD, RU, TJ, TM), European
patent (AT, BE, CH, CY, DE, DK, ES, FI, FR, GB, GR, IE,
IT, LU, MC, NL, FT, SE), OAPI patent (BF, BJ, CF, CG,
CI, CM, GA, GN, GW, ML, MR, NE, SN, TD, TG).
(72) Inventors: GUHEEN, Michael, R; 2218 Mar East Street,
= Tiburon, CA 94920 (US). MITCHELL, James, D.; 3004
= Alma, Manhattan Beach. CA 90266 (US). BARRESE,
SSS James, J.; 757 Pine Avenue, San Jose, CA 95125 (US).
(74) Agent: BRUESS, Steven, C; Merchant & Gould P.C.,
P.O. Box 2903, Minneapolis, MN 55402-0903 (US).
Published:
— Without international search report and to be republished
upon receipt of that report.
For two-letter codes and other abbreviations, refer to the "Guid-
ance Notes on Codes and Abbreviations " appearing at the begin-
ning of each regular issue of the PCT Gazette,
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ON
ON
(54) Title: A SYSTEM, METHOD, AND ARTICLE OF MANUFACTURE FOR EFFECTIVELY CONVEYING WHICH COM-
PONENTS OF A SYSTEM ARE REQUIRED FOR IMPLEMENTATION OF TECHNOLOGY
® (57) Abstract: A system, method and article of manufacture are provided for effectively conveying which components of a system
Q are required for implementation. A pictorial representation of the system is first displayed which includes various components of
the system. Next, the components of the system are indicia coded in order to indicate which components are required for the imple-
mentation of the system.
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A SYSTEM, METHOD, AND ARTICLE OF MANUFACTURE FOR
EFFECTIVELY CONVEYING WmCH COMPONENTS OF A SYSTEM ARE
REQUIRED FOR IMPLEMENTATION OF TECHNOLOGY
5
FIELD OF THE INVENTION
The present invention relates to conveying information regarding a web architecture
framework and more particularly to demonstrating which components of a system are
10 required for implementation of technology.
BACKGROUND OF THE INVENTION
It is common in presentations and the like to present and convey information
through graphic representations. These representations may take a variety of forms, such as
15 alphanumeric characters, various sorts of graphs, as well as images of physical objects
rendered on various mediums such as a computer display, paper product, transparency, etc.
For example, various graphics such as line graphs, bar charts and pie charts have been quite
popular in the presentation of business data such as sales, budgets and the like.
Typically, a person can absorb and manipulate information placed in a visual or
20 graphical context much faster than if the same information is represented merely by
alphanumeric text or conveyed verbally. The person is also much more likely to retain that
information. However, a balance must be maintained between presenting information in a
manner so as to be more likely to be retained by the viewer and keeping the graphic
presentation simple enough to be easily and quickly comprehended.
25 Traditional graphs and charts, such as bar and pie charts, work well only for small
amounts of information and are typically only useful for presenting statistical information.
Attempting to produce such graphs and charts for large amounts of information leads to
presenting the information in such small increments, such as bars (in a bar chart) or wedges
(in a pie chart), as to lead to confusion, not to mention the greatly reduced chance that a
30 viewer would retain the information presented.
Further, when similar types of information are being grouped together as a divisible
unit, such as in the same bar or wedge of a chart, the confusion is compounded. Still
further adding to the confusion would be the addition of indicia coding to selected
information in the divisible unit, such as attempting to indicia code certain portions of a bar
35 (in a bar chart) already having four components while ensuring that the individual
components remain identifiable.
Nor do such charts and graphs do well in providing the overall picture of how the
information is organized as a whole, such as how the divisible units (each formed of a
variety of different types of information) are related to each other. Simply stating that two
40 or more charts or portions of charts are related may not be enough to enable a viewer to
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comprehend the interrelationship of the information presented.
There is thus the need for a way to create and display information in a graphic
representation that presents the information concisely and in a well organized manner in
order to reduce the likelihood of confusion and maximize retention in a viewer and further
5 to increase the viewer's understanding of the organization and interrelation of the various
pieces of information with each other. There is further a particular need for such a system
in the art of conveying information regarding network frameworks such as a web
architecture framework.
10 SUMMARY OF THE BVVENTIQN
A system, method and article of manufacture are provided for effectively conveying
which components of a system are necessary for implementation of technology or the
system itself. The system may take the form of a web architecture framework and the
technology may include any type of particular use of the system. Initially, a pictorial
15 representation of the system is displayed which includes various components of the system.
Next, the components of the system are indicia coded in order to indicate which
components are required for the implementation of the system.
In one aspect of the present invention, the indicia coding indicates an order in
which the components of the system is to be implemented. In the alternative, the indicia
20 coding indicates which of a plurality of phases the components of the system is to be
implemented.
In another aspect of the present invention, the present invention may be used to
convey information regarding components of the system such as security services, network
services, web services, client services, integration capabilities, data services, directory
25 services, management services, operation services, or developer services. In the alternative,
the components of the system may include commerce-related services, content-related
services, administration-related services, customer-related services, or education-related
services.
In yet another aspect of the present invention, the indicia coding may be selected
30 from the group of indicia coding including texture coding, color coding, and shading
coding. As an option, a legend may be presented which defines the indicia coding with
respect to the components necessary in the implementation process.
BRIEF DESCRIPTION OF DRAWINGS
55 The invention will be better understood when consideration is given to the
following detailed description thereof. Such description makes reference to the annexed
drawings wherein:
Figure 1 A is a flow chart depicting multiple coding methods for conveying various
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information relating to a system such as web architecture framework;
Figure IB is a flowchart illustrating the method for identifying redundancies and
omissions among components of a web based architecture in accordance with one
embodiment of the present invention;
5 Figure IB— 1 is a flowchart providing more detail of the method for identilying
redundancies and omissions among components of a web based architecture in accordance
with one embodiment of the present invention;
Figure IC is a flowchart illustrating the method of conveying which components of
a system are required for implementation of technology in accordance with one
10 embodiment of the present invention;
Figure lC-1 is a flowchart providing more detail of the method of conveying
which components of a system are required for implementation of technology in accordance
with one embodiment of the present invention;
Figure ID is a flowchart illustrating the method of prioritizing components of a
15 system that are required for implementation of technology in accordance with one
embodiment of the present invention;
Figure lD-1 is a flowchart providing more detail of the method of prioritizing
components of a system that are required for implementation of technology in accordance
with one embodiment of the present invention;
20 Figure IE is a flowchart illustrating the method of indicia coding system
components to be delivered in different phases in accordance with one embodiment of the
present invention;
Figure lE-1 is a flowchart providing more detail of the method of indicia coding
system components to be delivered in different phases in accordance with one embodiment
25 of the present invention;
Figure IF is a flowchart illustrating the method of comparatively analyzing network
entities in accordance with one embodiment of the present invention;
Figure IF— 1 is a flowchart providing more detail of the method of comparatively
analyzing network entities in accordance with one embodiment of the present invention;
30 Figure IG is a flowchart illustrating the method for selling products in accordance
with one embodiment of the present invention;
Figure lG-1 is a flowchart providing more detail of the method for selling products
in accordance with one embodiment of the present invention;
Figure IH is a flowchart illustrating the method of identifying various components
35 of a system for building, management, and support purposes in accordance with one
embodiment of the present invention;
Figure lH-1 is a flowchart providing more detail of the method of identifying
various components of a system for building, management, and support purposes in
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accordance with one embodiment of the present invention;
Figure II is a flowchart illustrating the method for mapping products or services in
a network framework in accordance with one embodiment of the present invention;
Figure II— 1 is a flowchart providing more detail of the method for mapping
5 products or services in a network framework in accordance with one embodiment of the
present invention;
Figure IJ is a flowchart illustrating the method of identifying alliances among a
plurality of business entities in accordance with one embodiment of the present invention;
Figure IK is a flowchart illustrating the method for planning the testing of network
10 components in accordance with one embodiment of the present invention;
Figure lK-1 is a flowchart providing more detail of the method for planning the
testing of network components in accordance with one embodiment of the present
invention;
Figure IL is an illustration of one implementation of operations 10 and 24 of
15 Figure lA;
Figure lL-1 is an illustration of one implementation of operations 10 and 24 of
Figure lA;
Figure IM is an illustration of one implementation of operations 12, 20, 22 and 26
of Figure 1 A;
20 Figure INis an illustration of one implementation of operations 14, 16 and 18 of
Figure lA;
Figure IP is an illustration of one implementation of operations 14, 16, 18 and 30
of Figure 1 A;
Figure IQ is an illustration of one implementation of operation 22 of Figure lA;
25 Figure IR is an illustration of one implementation of operation 28 of Figure lA;
Figure IS is an illustration of one implementation of operation 28 of Figure lA;
Figure IT is an illustration of one implementation of operation 28 of Figure lA;
Figure lU is an illustration of one implementation of operation 28 of Figure lA;
Figure IV is an illustration of one implementation of operation 28 of Figure lA;
SO Figure IW is an illustration of one implementation of operation 28 of Figure lA;
Figure IX is an illustration of one implementation of operation 28 of Figure lA;
Figure lY is an illustration of one implementation of operation 28 of Figure lA;
Figure IZ is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
5 Figure lAA is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
Figure lAB is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
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Figure lAC is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
Figure IAD is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
5 Figure lAE is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
Figure lAF is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
Figure lAG is an illustration of an architecture diagram for one implementation of
1 0 operation 28 of Figure 1 A;
Figure lAH is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
Figure lAI is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
15 Figure lAJ is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
Figure lAK is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
Figure lAL is an illustration of an architecture diagram for one implementation of
20 operation 28 of Figure 1 A;
Figure 1AM is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
Figure IAN is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
25 Figure lAO is an illustration of an architecture diagram for one implementation of
operation 28 of Figure lA;
Figure 2A is a schematic diagram of a hardware implementation of one
embodiment of the present invention;
Figure 2B is an illustration of the Integrated Development Environment
30 Architecture (IDEA).
Figure 2C is an illustration showing a Development Organization Framework in
accordance with one embodiment of the present invention;
Figure 3 is an illustration showing a security organization functional according to
one embodiment of the present invention;
35 Figure 4 is an illustration showing the responsibilities of an Environmental
Management Team;
Figure 5 is an illustration showing the responsibilities of an Application Team
structure;
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Figure 6 is an illustration showing a model migration plan in accordance with one
embodiment of the present invention;
Figure 7 is an illustration showing a single release capability development pipeline
in accordance with one embodiment of the present invention;
5 Figure 8 is an illustration showing a multiple release capability development
pipeline in accordance with one embodiment of the present invention;
Figure 9 is an illustration showing a multiple release capability development
pipeline with code base synchronization among three pipelines;
Figure 10 is an illustration showing a Development Tools Framework in accordance
10 with one embodiment of the present invention;
Figure 11 is an illustration showing information captured in the Repository and
reused;
Figure 12 is an illustration showing the Repository's central role in the
development environment;
15 Figure 13 is an illustration showing an Operational Architecture Framework in
accordance with one embodiment of the present invention;
Figure 14 is a block diagram of a Web Architecture Framework in accordance with
one embodiment of the present invention;
Figure 15 is a flowchart illustrating the commerce-related web application services
20 in accordance with one embodiment of the present invention;
Figure 16 is an illustration of one embodiment of the present invention for
facilitating a virtual shopping transaction;
Figure 16A is an illustration of one embodiment of the present invention for
facilitating a virtual shopping transaction by comparing different products and services;
25 Figure 16B is an illustration of one embodiment of the present invention for
creating a hierarchy of the features of the items selected in accordance with the customer's
profile;
Figure 17 is an illustration of one embodiment of the present invention for
facilitating a virtual shopping transaction by ascertaining needs of a user;
30 Figure 17A is an illustration of one embodiment of the present invention for
facilitating a virtual shopping transaction by generating a solution based on the
requirements of the user;
Figure 18 is an illustration of one embodiment of the present invention for allowing
a user to customize an item for purchase in a virtual shopping environment;
^5 Figure 19 is an illustration of one embodiment of the present invention for
advertising in a virtual shopping environment;
Figure 19A is an illustration of one embodiment of the present invention for
advertising in a virtual shopping environment;
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Figure 20 is an illustration of yet another embodiment of the present invention;
Figure 21 is an illustration of one embodiment of the present invention for
automatically generating a contract between an owner of software and a user of the
software;
5 Figure 21A is an illustration of one embodiment of the present invention for
automatically generating a contract between an owner of software and a user of the
software
Figure 22 is a flowchart illustrating the content channels-related web application
services in accordance with one embodiment of the present invention;
10 Figure 23 is a flowchart illustrating the customer relationship management-related
web application services in accordance with one embodiment of the present invention;
Figure 23A is a flowchart illustrating a profile management service of the customer
relationship management-related web application services in accordance with one
embodiment of the present invention;
15 Figure 23B is a flowchart illustrating a profile management service of the customer
relationship management-related web application services in accordance with one
embodiment of the present invention;
Figure 24 is a flowchart illustrating the content management and publishing-related
web application services in accordance with one embodiment of the present invention;
20 Figure 25 is a flowchart illustrating the education-related web application services
in accordance with one embodiment of the present invention;
Figure 25A is a flowchart illustrating one manner of generating an educational
curriculum in the education-related web application services in accordance with one
embodiment of the present invention;
25 Figure 25B is a flowchart illustrating one manner of generating an educational
curriculum in the education-related web application services in accordance with one
embodiment of the present invention;
Figure 26 is a flowchart illustrating the web customer-related web application
services in accordance with one embodiment of the present invention;
30 Figure 26A is a flowchart illustrating one component of the web customer-related
web application services in accordance with one embodiment of the present invention;
Figure 27 is a flowchart illustrating the security services in accordance with one
embodiment of the present invention;
Figure 28 is a flowchart illustrating the network services in accordance with one
35 embodiment of the present invention;
Figure 29 is a flowchart illustrating the internet services in accordance with one
embodiment of the present invention;
Figure 30 is a flowchart illustrating the client services in accordance with one
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embodiment of the present invention;
Figure 31 is a flowchart illustrating the data services in accordance with one
embodiment of the present invention;
Figure 32 is a flowchart illustrating the integration capabilities in accordance with
5 one embodiment of the present invention;
Figure 33 is a flowchart illustrating the miscellaneous services in accordance with
one embodiment of the present invention;
Figure 34 is a flowchart illustrating the directory services in accordance with one
embodiment of the present invention;
10 Figure 35 is a flowchart illustrating the management and operations services in
accordance with one embodiment of the present invention; and
Figure 36 is a flowchart illustrating the web developer services in accordance with
one embodiment of the present invention.
1 5 DISCLOSURE OF INVENTION
The present invention includes a system, method, and article of manufacture for
providing a web architecture framework and further a system, method, and article of
manufacture for conveying various aspects of such web architecture framework. This may
be done for presentation purposes or with any other objective in mind. For example, the
20 present invention may be employed in optimally conveying to a client or customer
information relating to a specific web architecture framework in order to make a point or
for sales purposes. In the present description, the details of the presentation aspects will
first be set forth after which details relating to a specific web architecture framework of the
present invention will be described.
25 As shown in Figure lA, the presentation method of the present invention first
includes displaying a pictorial representation of a system, i.e. web architecture framework,
including a plurality of components. Note operation 10. Next, in operations 12-30, the
pictorial representation is indicia coded in order to demonstrate any one or more of various
aspects of the system. Such indicia coding may take the form of color coding, texture
30 coding, shading coding, or any other coding which is capable of conveying the desired
information.
It should be noted that the pictorial representation and indicia coding may be
displayed in any manner that conveys the desired information. For example, the pictorial
representation may take the form of a transparency with an outline of the various
35 components of the system. Further, the indicia coding may take the form of an overlay
removably situated on the transparency such that, together, the transparency and the overlay
depict the indicia coding and the pictorial representation in combination. In the alternative,
the transparency and overlay may comprise a single unitary display device. Further, such
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device may take the form of a slide, full size transparency, or any other device that conveys
the desired information. In still yet another embodiment, the pictorial representation and
indicia coding may be displayed via a computer with any desired presentation software. An
example of such pictorial representation will be set forth hereinafter in greater detail.
5 Figure IL. shows an example of the aforementioned pictorial representation, or
"base chart". In the example where the system is a web architecture framework, such
pictorial representation depicts all of the application capabilities and associated
infrastructure services required to establish a comprehensive web presence. A plurality of
components are shown which are necessary to afford various activities over the Internet.
10 Such components may include: an electronic commerce component, a content channels
component, an administrative component, a customer relationship management component,
a content management and publishing services component, an education related services
component, and a web customer service component. More detail about these and other
components is provided below and with reference to Figure 14. In one embodiment, the
15 pictorial representation may be used alone in order to convey various services which would
be provided in a business offering.
To create such a pictorial representation, referring to Figure lL-1, each of the
primary components of the system, such as the components listed above, are arranged for
display in operation 62. Examples of primary components shown in Figure IL include
20 "Security Services", "Commerce", and "Data Services". Preferably, the primary
components are grouped under descriptive headings, as in operation 63. Examples of such
headings shown in Figure IL are "Web Application Services" and Common Web Services".
Each of the primary components is formed of a group of secondary components. In
operation 64, each set of secondary components is positioned towards or over each of the
25 primary components in such a manner that a viewer would visually associate a group of
secondary components with the proper primary component. A legend may be provided in
operation 65 to provide reference as to what the indicia coding represents. Finally, in
operation 66, the components and legend are displayed.
With reference to Figure lA, operation 12 includes indicia coding in order to
30 provide a diagnostic presentation of a past, current, and/or desired web presence. By this
method, redundant efforts and omissions among the components of a particular
implementation of a web architecture framework may be effectively conveyed. An example
of indicia coding in accordance with the present description is shown in Figure IM. As
shown, components of the web architecture framework without shading indicate that such
35 components are omitted in the framework (i.e., not provided by services of any vendor). On
the other hand, components of the web architecture framework with multiple types of
shading indicate redundancy in such components (i.e., provided by services of more than
one vendor). To accomplish this, referring to Figure IB, operation 31 determines at least
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one area of an existing network framework in which redundancies and omissions of
business efforts exist. Operation 32 presents a pictorial representation of the existing
network framework including a plurality of components, such as the pictorial representation
shown in Figure IL. Then, in operation 33, the redundancies and omissions are highlighted
5 by indicia coding the components of the existing network that reside in the area.
In one exemplary method to determine whether an area of an existing network
framework has redundant or omitted components, a database may be created which includes
a listing of all of the components of the area. See operation 31a of Figure lB-1. Also,
listings of all services provided by vendors that correspond to the components of that area
10 of the framework are created in the same or a second database in operation 31b. Then, the
listing of the components is compared with the listing of the vendor services corresponding
to those components in operation 31c to determine whether and how many vendors supply
services to each particular component. A third listing is created in operation 31d. The third
listing lists components not being provided by a vendor service. These components have
15 been omitted by business efforts of the vendors. A fourth listing is created in operation 31e.
The fourth listing includes all of the components that are provided by services of more than
one vendor. These components are being served by redundant business efforts.
Alternatively, the fourth listing could include components that are provided by more than
one service of the same vendor. A pictorial representation, such as is shown in Figure IL,
20 is prepared, as described above in operation 32. Then, referring to Figure IM, each vendor
is assigned a unique indicia coding. Each of the components provided by a vendor service
is indicia coded to indicate which vendor or vendors provide the services, as performed in
operation 33. Any component omitted in the framework has no indicia coding, while any
components having redundant business efforts have multiple types of indicia coding.
^5 Operation 14 of Figure lA includes indicia coding for effectively conveying which
components of a system are required for implementation of technology using the web
architecture framework, thereby affording a project definition and an implementation plan.
See also Figure IC. Operation 34 of Figure IC displays a pictorial representation of a
system including a plurality of components, again, such as the pictorial representation
50 shovm in Figure IL. Then the components of the system are indicia coded in order to
indicate required components for the implementation of the system. See operation 35. An
example of such indicia coding is shovm in Figure IN. As shovm, components of the web
architecture framework without indicia coding indicate that such components are not
required for implementation of technology using the web architecture framework. In
5 contrast, components of the web architecture framework with indicia coding represent
components which are required for implementation of the technology. In the present
description, such technology may relate to any sort of use of the web architecture, i.e.
specific commerce implementations, etc.
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In one exemplary method to determine which components are required for the
implementation of the system in order to indicia code them in operation 35, a database may
be created which includes a listing of all of the components of the system. See operation
35a of Figure IB— 2. Also, listings of all components of the framework necessary to the
5 implementation of the system are created in the same or a second database in operation 35b.
Then, the listing of the entire set of components is compared with the listing of the required
components in operation 35c. In operation 35d, any components that match are indicia
coded on the pictorial representation created in operation 34.
As shown in operation 16 of Figure lA, the indicia coding may be further employed
10 to indicate priority of implementation for components of the system. First, a priority is
identified among the plurality of components required for implementation of a
predetermined technology. See operation 36 of Figure ID. To accomplish this, referring to
Figure lD-1, a listing of all of the components required for implementation of the
technology using an existing network framework is compiled in operation 36a. Priority
15 may be determined based on a requirement that certain components be in place before other
components will perform properly. In such case, primary components, which should or
must be installed before other secondary components will function properly, are positioned
forward of, or in an otherwise prioritized relation to, the secondary components in the
listing in operation 36b. Further, any tertiary components that should or must be installed
20 after a particular secondary component should be positioned below the corresponding
secondary component on the listing, as in operation 36c. Thus, the listing provides a
particular order in which the components of the network framework should or must be
installed. It should be noted that this procedure can be followed for any particular area of
the network framework or the entire network as a whole.
-5 Then, referring back to Figure ID, a pictorial representation of the existing network
framework and its components is generated in operation 37. Operation 38 indicia codes a
first component or components of the existing network framework in order to indicate that
the first component is a primary component, as selected in operation 36b, which must be
implemented first. Operation 39 indicia codes a second component and any remaining
!0 components of the existing network framework in order to indicate that the second
component and remaining components are secondary components, as determined in
operation 36c, and must be implemented after the first component. For example, second
components which should be provided only after other necessary first components are in
place may be distinguished from the primary components by having indicia coding unique
5 with respect to the indicia coding of the first components, and likewise for tertiary
components, etc.
Further, indicia coding may indicate particular phases in which components of the
system are delivered, and more particularly the order of delivery of various components of
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the web architecture framework. Note operation 18 in Figure lA. Referring to Figure IE,
operation 40 displays a pictorial representation of an existing system including a plurality
of components. Then, in operation 41, a first set of components that are to be delivered in a
first phase are selected and presented by indicia coding the same. To perform operation 41,
5 for example, referring to Figure IE— 1, components of the system that are required to create
the base framework of the system are selected to be delivered in the first phase in operation
41a. Further, in operation 41b, the remaining components are separated into primary and
secondary components, in which the primary components must be installed before the
secondary components in order for the secondary components to function properly. The
10 primary components may also be selected to be delivered in the first phase in operation 41c.
Finally, in operation 42, a second set of components that are to be delivered in a second
phase are selected and presented by indicia coding the same in a manner unique with
respect to the indicia coding of the first set of components. Such second set of components
may include some or all of the secondary components found in operation 41b. Referring to
15 Figure IP, an exemplary first set of components is identified in the legend under "First
Delivery". In Figure IP, second and third sets of components are identified in the legend
under "Second Delivery" and "Third Delivery".
Operation 20 of Figure lA includes indicia coding for effectively comparing a
plurality of entities which, in the present description, may refer to any organization
20 including, but not limited to vendors, companies, and/or any other community or the like.
In one embodiment, the present method may allow architecture definition and/or
software/vendor assessment. In such embodiment, the components of the system are indicia
coded in order to compare the services or products such as software of prospective third-
party vendors who may stand alone, be part of a partnership, etc. In particular, operation 43
15 of Figure IF determines the structure and/or organization of a current network framework.
Operation 44 displays a graphical depiction of the current network framework and a
plurality of components thereof, such as the graphical depiction shown in Figure IL. A
comparative analysis of the vendors is presented with indicia coding that highlights aspects
of (i.e., services provided by) the vendors. See operation 45. The presentation of the
50 comparative analysis is accomplished in operation 45a of Figure lF-1 by assigning each
vendor a unique indicia coding. In operation 45b, a database is created that includes all of
the products and services of at least two vendors of web-based products or services. The
products and services in the database are compared to the components of the network
framework in operation 45c. In operation 45d, each component that matches a service or
\5 product offered by a vendor is indicia coded on the graphical representation created in
operation 44, with the indicia coding corresponding to the vendor of the service. Then a
visual comparison of the services offered by each vendor in relation to the entire network
framework may be made. Figure IM shows one way the present method may be
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implemented.
As stated above, various vendors may be represented by a unique corresponding
indicia coding, i.e. color, for differentiation purposes. As such, one may assess vendors and
third parties as a comprehensive, integrated solution. Further, investment opportunities
5 may be assessed by coding their coverage, strengths, and weaknesses in terms of web
architecture framework. For example, the instant method may be used to provide a valuable
perspective where new start-up companies are positioned in the overall web architecture
solution.
Operation 22 of Figure lA is provided for effectively conveying which of the
10 components and capabilities of a system have products and services available for sale,
thereby serving as a selling tool. This is accomplished by indicia coding the components of
the system in order to show which of the components has services and products that can be
provided. In particular, referring to Figure IG, operation 46 determines the organization
and components of an existing network framework. A database is also created which
15 includes a compilation of all of the products and/or services offered by the various
components. Operation 47 defines a plan which includes improvements to the existing
network framework. For example, in operation 47a of Figure lG-1, a target market is
selected based on buying habits, age, gender or some other criteria. In operation 47b, a
sales program is tailored to appeal to the target market by selecting only specific
20 components having products or services likely to be purchased by the target market. Then,
in operation 47c, the products or services related to the chosen components are chosen to be
offered for sale.
A pictorial representation of the existing network framework and a plurality of
components of the existing network framework are displayed in operation 48, In operation
25 49, the components of the existing network framework which were chosen according to the
plan in operation 47c are indicia coded in order to sell at least one of products and services
relating to the chosen components of the system in accordance with the improvements. It
should be noted that the pictorial representation of the system displays the components
which were not selected under the plan without indicia coding, such as if the products and
30 services of the other components are available for sale though not featured, or such
components may not be displayed at all.
Figure IM shows an example of operation 22 of Figure lA. As shown, various
available components are indicia coded. As an option, the available components, or
capabilities, may be broken down in a bulleted format. Note Figure IQ, which is
35 exemplary of a bulleted list of components. It should be noted that such a list may be
provided for any combination of components, including all of the components. As an
alternative to selecting products and services to sell, the present invention may specifically
indicate which specific capabilities are available to potential clients or customers. As such,
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the present method of indicia coding is effective in showing such prospective clients or
customers a comprehensive view of what it takes to implement solutions. Further, new
opportunities may be identified through assessment of the displayed information.
In various other embodiments, the present invention may be used to clearly
5 articulate all the services that would be provided in any type of new business offering. In
operation 24 of Figure lA, the components of the system are indicia coded in order to
convey information regarding building, managing, and/or supporting the various
components of the system. As such, various capabilities may be conveyed in any type of
business offering. A pictorial representation of an existing system including a plurality of
10 components is displayed in operation 50 of Figure IH. Figure IL shows an example of
such a pictorial representation.
In operation 51, information relating to building the components of the existing
system is presented by indicia coding the components on the pictorial representation. For
example, all of the components required to build the other components of the system are
15 differentiated from the other components by the indicia. Thus, the skeleton of the system is
presented. Information relating to managing the components of the existing system is
conveyed by indicia coding the components on the pictorial representation in operation 52.
Operation 53 presents information relating to supporting the components of the existing
system by indicia coding the components on the pictorial representation.
20 In more detail, referring to operation 51a of Figure lH-1, a database is created
having three areas each adapted to contain a group of components of the system. In
operation 51b, components of the existing system that are used for building the components
of the system are selected and placed in a first group of components in the first area of the
database. These components are indicia coded on the pictorial representation in operation
15 51 of Figure IH. In operation 51c, components of the existing system that are used for
managing the system and its components are selected and placed in a second group of
components in the second area of the database. These components are also indicia coded
on the pictorial representation, in operation 52 of Figure IH, but with a unique indicia
coding. In operation 51d, components of the existing system that are used for supporting
10 other components of the system are selected and placed in a third group of components in
the third area of the database. These components are indicia coded on the pictorial
representation, also with a unique indicia coding, in operation 53 of Figure IH.
Further, the present invention may be employed in product development planning to
communicate where new products fit into an overall architecture picture. As shown in
5 operation 26 of Figure lA, this is accomplished by indicia coding the components of the
system in order to convey information pertaining to which components of a system products
or services relate. As such, the present embodiment identifies where various products or
services are focused in a system. Note Figure IM which is representative of an example,
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where "Vendor 1", "Vendor T\ etc. each represent a service or product. Operation 26 is
performed by determining a plurality of network products or services relating to
components of a current network framework and presenting the components of the current
network framework in a pictorial representation. See operations 54 and 55 of Figure II.
5 Operation 56 identifies the components of the current network framework to which each of
the network products or services relate by indicia coding the components.
In one example of operation 26, a first database is created in which selected
services are compiled. See operation 56a of Figure ll-l. In operation 56b, a second
database is created. The second database has each of the services offered by the current
10 system grouped by system component. The two databases are compared in operation 56c,
and the components which have services matching the services of the first database are
listed in operation 56d. The listed components are indicia coded on the pictorial
representation in operation 56e.
In operation 28 of Figure lA, one embodiment of the present invention identifies
15 alliances among various business entities in certain components of a system. To
accomplish this, the components of the system are indicia coded to indicate in which
components of the system alliances exist between various business entities, i.e. companies,
etc. This enables one to effectively discern how to use products in the components of the
system where such alliances exist. The procedure for performing operation 28 begins by
20 identifying at least one alliance among a plurality of business entities in terms of
components of a current network framework. Note operation 57 of Figure 1 J. A pictorial
representation of the current network framework and the components is displayed in
operation 58. Operation 59 conveys the alliance or alliances by indicia coding the
components of the current network framework in which the alliance or alliances exist.
25 More detail is provided below.
Finally, in operation 30 of Figure lA, it is shown that one embodiment of the
present invention may be used in test planning or the like. This is accomplished by indicia
coding the components of the system in order to convey the manner in which the
components of the system are to be tested. An example of such technique is shown in
30 Figure IN. The present invention has a broad applicability across all industry groups
through customization of the pictorial representation and indicia coding. In operation 60 of
Figure IK, a pictorial representation of an existing network framework including a plurality
of components is displayed. In operation 61, the components of the existing network
framework are indicia coded in order to convey a plan by which the components of the
35 system are to be tested. Looking to Figure lK-1, it is seen that one method of performing
operation 61 includes devising a plan for testing the system. See operation 61a. The plan
may be based on administrator or programmer testing specifications. In operation61b, a
plurality of components are selected for testing based on the plan. The selected
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components are then indicia coded on the pictorial representation in operation 61c. Thus, a
pictorial depiction of the testing plan is created.
In various alternate embodiments, the indicia coding may be used to differentiate
between base capabilities and technologies, indicate support for Internet Protocol, and/or
5 convey any other aspect of implementation of technology. The present invention thus
ensures a comprehensive implementation solution.
Referring again to operation 28 of Figure lA, and more particularly to Figures IJ
and Figures lR-1 Y, it is seen that Figure IR provides an exemplary pictorial representation
of various components of a web architecture framework, each component being represented
10 by a box. Three business entities are represented in this example as Business 1, Business2,
and Business3. Each business entity has a unique indicia coding, as shown in the legend.
Indicia coding is provided in each component box that has related products or services
offered by a business entity. For example, in the Security Services section, the Browser
Based Authentication component has all three types of indicia coding. Thus, all three of the
15 business entities provide products or services related to that component. Also in the
Security Services section, the Virtual Private Networks component has only two types of
indicia coding. Referring to the legend, it is seen that only Business 1 and Business2 offer
products or services related to that particular component. For clarity. Figures IS, lU, and
IW are provided to illustrate the products or services offered by each individual entity.
20 The legends of Figures IT, IV, and IX illustrate the particular services provided by
Businessl, Business2, and BusinessS, respectively. (The chart on the following pages
provides more detail as to the services provided by each entity.) Each service has a unique
indicia coding, as shown in the legend. Indicia coding is provided in each component box
that has a component provided by that service. Looking to Figure IT in this example, it is
15 seen that Business 1 offers 13 types of services. The Secure Browser Communication
component of the Web Services component of the Web Architecture Framework is
provided by eight of the services offered by Businessl: Netra/ISP Server Bundles, System
Management Tools, Business/Java Web Servers, News Server/Forum, Directory Services,
Business.net, the Browsers, and the Wallet/Card/eCheck Service.
SO Figure lY is an exemplary data page which provides even more detail for selected
components of the Web Architecture Framework. It should be noted that such data pages
may be provided to include each of the various components and subcomponents. Each
component box has indicia coding again representative of the services which provide that
particular component. Alongside each component are various operations associated with
5 that component. Smaller boxes are provided adjacent each operation, one box for each
service providing the main component. If a service performs the particular operation,
indicia coding representing that service is provided in one of the boxes adjacent that
operation. If the service does not perform the particular operation, its representative indicia
16
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coding will not appear in a box adjacent that operation.
Figures IZ through lAO illustrate exemplary architectures of various components
of the systems of Business 1 and Business2. These Figures also correlate with the
appropriate portions of the following chart.
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1.1 Businessl (www.businessl.com)
Business 1 offers a variety of products in the hardware, networking, architecture,
infrastructure, security and development tool areas. These products are used as the
5 foundation to build applications and systems. Businessl offers limited products with out—
of— the— box functionality or application capabilities.
Product Functionality
Troduct
Name/ Category
Product Details
Application ^ *
Server
A platform for the development, delivery and management of
enterprise network applications. Based on CORBA and Java, Product 1
uses an open and secure architecture to develop business applications.
The Productl product family consists of the following components:
Product 1 Studio - a visual integrated
development environment tool for developing Java— based
applications in Productl and Java. It incorporates wizards and
editors for creating web— based applications, including
construction of user interface, data access and PACs. It also
integrates with source code control, testing and deployment
tools.
Productl Application Server - a Java- and
CORBA-based server that provides state and session
management, built-in load balancing, processing of
application logic and integration with external databases and
enterprise systems.
Productl Java Object Framework - a
framework of reusable Java and JavaBeans objects. A host of
Productl Java classes and methods are available out-of-the-
box for custom development.
Productl Command Center - a Java-based
application that provides local and remote management and
monitoring of the platform in real-time. This management
console provides control of the application server, with the
ability to configure a range of properties for each server
component and the processes within them. It can also
distribute components across multiple systems and manage
multiple configurations.
The Productl product family may be extended through these
components:
PAC SDK — Productl platform that allows
developers to build customized Platform Adapter Components
(PACs) for external enterprise systems.
PACs — Businessl provides a PAC for SAP
and PeopleSoft. Businessl partners deliver other 3rd party
PACs that can be purchased from partners directly.
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1 Product
1 Name/ Category
Product Details
Internet Mail
Server (SIMS)
A family of Internet mail server products that securely handles
mail messages in a variety of formats. SIMS also provides a secure
Java Administration Console for centralized and remote
administration, backup and restore features. SIMS is a replacement
for the UNIX sendmail program which has been the target of frequent
system break— ins.
Internet^l^ews ^ '
Server
Targeted for internet service providers, the Internet News
Server is a full-featured news server which offers user-focused
interfaces, streamed feeder/reader design, web— based installation and
administration and remote access.
The Internet News Server is a component of the Product2 ISP
Server suite.
Forum
Workgroup collaboration tools that allow users to
communicate in a heterogeneous environment of Business 1
workstations, PCs and Macintosh computers. Forum allows users to
share a whiteboard and applications with others and seamlessly
transfer files and "chat" with co-workers.
Personal ' •
1.3
WebAccess
Browser
Personal WebAccess — a customizable, compact web
browser for devices that run the PersonalJava platform. Personal Web
Access is designed for manufacturers who want to provide consumers
with an easy way to access the Web and retrieve information from a
variety of consumer devices, including screen phones, set-top boxes,
and wireless hand-held devices. The browser supports common
internet services such as authentication, FTP, applets, audio and media
files.
HotJava 1 .
Browser '
HotJava Browser - a lightweight, customizable browser
designed for OEMs and developers who create web-enabled devices
and applications.
Froduct3 1-
1.5
A secure, standards-based web server for accessing,
managing, and distributing information over the Internet, extranets, or
intranets. Product3 supports Java servlet development and network
caching of web pages.
Products simplifies management of website environments
through delegation of administrative privileges such as access rights to
administer meta-data components or load-balancing
Java Web Server
The first commercially available Java service based on the
JavaServer API framework for Java servlets. It uses servlet
technology to enable server-side Java applications and provides
access control and security features.
Java Web Server provides session tracking that provides a
mechanism to track how people use and navigate websites. It also
provides remote administration and logging features
Directory Services
/\ muiti protocol, scalable global directory for stormg
information such as user definitions, user profiles, network resource
definitions, and configuration parameters. It employs naming,
directory, and authentication protocols on top of a shared, distributed,
object repository. Users and applications can use the directory to
ocate and access information from anywhere in the network
JavaWallet
Java Electronic Commerce Framework (JECF) is Business 1 's
new initiative to create a standard, secure framework within which to
conduct business transactions using any combination of currencies
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1 Product
1 Name/ Category
Product Details
and payment instruments such as credit and debit cards, electronic
cash and checks, and smart cards.
The initial component of the JECF is the JavaWallet, a client-
side application that will be distributed as a core component of the
Java environment. JavaWallet will allow users of any Java-enabled
web browser or operating system to purchase goods and services from
JECF-compliant merchant websites.
JavaWallet provides a single user interface for electronic
transactions, secure from tampering. When a consumer uses a Java-
enabled browser to navigate an online mall, selects goods and services
for purchase, he can access the JavaWallet for home banking and
portfolio management. The consumer owns the JavaWallet that will
be used to complete purchases and banking transactions. The user
may set spending limits and can monitor spending through an
auditable transaction log. Privacy of all data is protected through the
use of encryption and digital signatures.
Merchants offer goods and services for sale on the Internet
using applets which adhere to the JavaWallet architecture. These
applets may include interfaces to payment processing, security
services, customer profile services and database services.
The Java Wallet family consists of the following components:
Java Commerce Business (JCC) — a client
side solution for eCommerce transactions. JCC provides
users with a wallet-like user interface, a database, and a
platform that enables a variety of payment instruments and
protocols.
Commerce JavaBeans - enables developers to
write components to extend JCC functionality such as
interfacing with payment servers and other transaction
protocols.
Gateway Security Model — allows a secure
shield around protected APIs and components.
JavaCard^ ^-
A card that is embedded with either a microprocessor and a
memory chip or only a memory chip with non-programmable logic.
The microprocessor card can add, delete, and otherwise manipulate
information on the card, while a memory-chip card can only
undertake a pre-defined operation.
CL^IlCCn k3d Vci
1.8
A server that allows the use of electronic checks for
transactions. Business 1 echeck server verifies digital signatures,
processes checks according to the business rules of the bank (e.g. a
check over $25,000 requires two signatures), returns invalid checks,
and settles all valid checks.
Product4 Produdt
1.9
Suite
A range of security-based hardware and software that offers
packet filtering, encryption, security administration, virtual private
network and access restriction. The Product4 Product Suite includes
the following components:
Product4 Secure Net — a complete set of
products designed to establish perimeter defense, secure
intranets, secure remote access, and secure extranets
including the following:
Product4 EPS - firewall and security server
software that screens network traffic as defined by the
organization's security policy. It also acts as a high-
speed encryption server to protect information going over
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1 Product
1 Name/ Category
Product Details
untrusted networks.
• Product4 SPF-200 - security platform for
perimeter defense and electronic commerce. It provides
stealthing to help protect an organization from Internet
attacks.
Product4 SKIP - provides encryption and key
management capabilities which enables PCs,
workstations, and servers to achieve secure/authenticated
communication.
Businesssl.net ^'
1.10
A remote— access strategy and technology that enables users to
securely access all personalized data, application and information
irom Java-enabled browsers. Businessl.net uses recently acquired i-
Planet's secure, remote access software.
Calendar Server
Designed to manage large-scale enterprise calendaring
systems. Business I's Calendar Server is integrated with Business 1
Internet Mail Server and provides the following features:
Maintenance of Personal Calendars
Group Scheduling
Calendar Security
Products Internet
Server Software
Bundle
A web server package solution that includes third-party
Internet and security products including the following:
Products Administration Software - provides
server setup, configuration, and management capabilities
through a browser. The Products Internet Server can be
administered remotely for user access control, email
management, softrware installation and backup and
recovery.
Checkpoint Fire Wall-First! - firewall and
security software that protects data and network from
unauthorized access from the public Internet. It also
offers packet-level filtering.
Trend InterScan Virus Wall - virus scanning
software that verifies and filters out viruses in
communications such as files and emails that interact with
the Products Internet Server.
Business 1 Internet Mail Server - a family of
Internet mail server products that securely handles mail
messages in a variety of formats.
Network Associates WebStalker-First
Intrusion Detection- software that provides around-the-
clock monitoring and response to intrusions and misuse of
a site and its files.
Business2 SuiteSpot Server including
Business2's Calendar, Chat, Enterprise, Messenging and
Directory Servers, Live Wire Pro and Informix database.
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Product Details
Product2 ISP SeJ-vr
1.11
Bundle
Targeted for internet service providers. Business I's Product2
ISP Server provides users with a bundle of platform extensions
including the following:
Internet Administrator — provides secure,
remote management of distributed ISP services
Internet Services Monitor - monitors Internet
services, identifies and manages network problems
Directory Services — provides a multi—
protocol, global directory for storing information
Host Configuration - provides ISP host
configuration features including quick, repeatable installation,
Product2 security configuration, intrusion detection, server
process monitoring, and log file management.
Product4 SKIP — provides encryption and
key management capabilities which enables PCs,
workstations, and servers to achieve secure/authenticated
communication
22
PCTAJSOO/14457
Product
Product Details
Name/ Category
Product2 Bandwidth Manager — a software product
that enables efficient network resource management. By
preventing a small number of applications or users from
consuming all available bandwidth, it ensures the quality of
service to users and network availability to applications.
Product6 Enterprise Manager - Business 1 's
distributed network management foundation that manages large
heterogeneous networks. Product6 Enterprise Manager supports
and manages Java applications built for various network types.
Product6 Site Manager & Product6 Domain Manager
- offer centralized management for networks of up to 100 nodes.
Product features include the following:
Monitoring of events and network health for
multiple local and remote environments
Distribution of management data
Management of file systems, print queues and
user groups
Balancing of management processing loads
across the network
Business 1 offers a variety of development and testing tools
including the following:
Development Tools:
Embedded Java Application Environment
JavaBeans Development Kit
JavaBlend
Java Compiler Complier
Java Development Kit
Java Dynamic Management Kit (JDMK)
JavaHelp
Java Management API (JMAPI)
Java JIT Compiler
Java SDK
Java Workshop
NEOWorks
Personal Java Application Environment
Servlet Development Kit
Product6 ASN. 1 Compiler
Business! Performance Workshop Fortran
Business 1 Visual Workshop C++
Business 1 Workshop Team ware
Testing Tools:
JavaCheck
Java Heap Analysis Tool
JavaPureCheck
JavaScope
JavaSpec
JavaStar
JavaLoad
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Product
Name/ Category
System
1.14
Management
Tools
T
Product Details
JavaPC Software - provides central administration
and support for the Java platform on PC-based thin client devices.
JavaPC is targeted at OEMs designing thin-client devices such as
transaction terminals, cash registers, kiosks and ATMs.
Product2 Management Console — Java— based utility
that provides views of servers on the network and applications on
those servers. It allows administrators to add users, hosts or
applications from any client on the network.
Product6 Backup - provides automated, backup,
recovery and storage management services for files and
applications in a wide array of systems on the network including
UNIX, NetWare, Windows NT, PC or Apple Macintosh systems.
It also provides centralized administration and control through a
unified view.
Product6 AdminSuite — suite of tools for
administering distributed systems and managing user accounts,
hosts, groups, administrative data, printer, file system, disk and
serial ports.
Products j Software- browsei^based graphical
administration tool that provides centralized administration of
JavaStation network computers and Java Webtops on PCs.
Products j provides Java technology clients with connectivity to
legacy databases and applications.
Business 1 Product? - host-based software used to
monitor and administer tape libraries via a Java-enabled Web
browser. The Library Monitor allows event logging and
notification, remote diagnostics, remote configuration, and remote
monitoring of library activity and status.
L2
1.3 Business2 (www.business2.com)
Business2 Communications offer a variety of server products that support the
development and deployment of Internet applications. Business! also provides applications
with out~of— the— box functionality such as electronic commerce.
Product
Product Details
Name / Category
24
PCTAJSOO/14457
Product
Product Details
Name / Category
A suite of pre-built applications that run on Business2's
Application Server. These applications include buying, selling,
merchandising, and delivering content over the Internet:
ECProductl - Software for the integration of
eCommerce applications with legacy systems. It provides for
the sending, receiving, and encrypted transmission of
documents among heterogeneous systems of trading partners
over the Internet,
SellerProductl - An application designed to
support advanced business-to-business selling over the
Internet. SellerProductl allows for the enforcement of trading
partner agreements and business rules. SellerProductl
provides the capability to create company-specific catalogs
which can be set up to present different products to different
users based upon purchase eligibility. SellerProductl
includes search features, management tools, and order
management (including tax, shipping, and payment services.)
BuyerProductl - An Internet- based
corporate procurement application that automates order and
delivery, supports complex trading relationships, and allows
for the exchange of information via EDI or the Internet.
PublishingProductl - An application that
utilizes both passive and active customer profiling capabilities
to create targeted advertising, and to deliver personalized
information for superior customer service. Content
management tools are combined with application development
tools to allow to host and deploy multiple sites.
MerchantProductl - An online business-to-
consumer merchandising solution that provides the following
features:
A single shopping cart for each customer,
forms filled with predefined account information, tax
calculation and discounts, product availability, and up-
to-date order status information.
Payment systems, catalog creation and
administration tools, an order management system, and
rapid customization of a site's business processes through
modifiable business rules and presentation templates.
Search capabilities, including hierarchical
menus, parametric searches by attribute, and simple
keyword searches.
BillerProductl - An Internet bill presentment
and payment (IBPP) solution, particularly for the banking and
telecommunications industries.
TradingProductl - A commerce exchange
application that enables trading partners of varying size and
technical sophistication to transact business over the Internet
through in-context document turnaround capabilities, and
customizable prepackaged forms.
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1 Product
1 Name / Category
Product Details
Business! Product
I A comprehensive set of components that integrates browsing,
email, web-based word processing, chat, and group scheduling to
allow users to communicate, share, and access information.
Business2 Product2 includes:
Products - web browser with support for
Java, JavaScript, and SSL
Product4 - an Internet mail client.
Products — a web authoring tool.
Instant Product4 — enables people to
communicate easily and privately in real time over an intranet
or the Internet, either one-on— one or in a group.
Calendar - delivers group scheduling based
on a scalable real— time architecture.
Browser Customization
Business2 Business Customization Kit -
enables Internet service providers, Internet content providers,
hardware OEMs, and others to create customized versions of
Product2.
Business2 Mission Control Desktop - cross-
platform administration tools to configure, deploy, centrally
manage, and update Business2 Product2.
Business!
Enterprise Server
A high— performance, scalable web server software for
deploying the largest-scale web sites. Business2 Enterprise Server
includes a built-in search engine and supports standard security and
authentication. The integrated Live Wire Pro software also adds
content management, data access, and session management
capabilities.
Business2 also offers FastTrack Server - an entry-level
enterprise server with limited functionality.
Business!
Application
Server
A middleware infrastructure that supports the development
and deployment of transactional, business-critical Internet
applications. Business2 Application Server operates with other
Business2 products and includes the following two development tools:
Application Builder - provides an integrated
and productive web development environment that enables
developers to rapidly deliver enterprise-class web
applications.
Extension Builder - allows corporations to
develop custom integration with heterogeneous systems and
applications across the enterprise.
Business! Director
Server
A directory server that acts as the central repository for
customer, supplier and employee information. Business2 Directory
Server enables the integration, storage and management of directory
mtormation trom disparate data sources. It also provides security,
authentication and replication features.
A Directory Software Developer's Kit provides application
orosramminff interfaces that piiiihlf* Hf*vf»lr*r*f»rc tn Hir^^r^tr^m/ <3.noKi<=k
their applications.
Business! Proxy
A system for caching and filtering web content, log analysis,
and boosting network performance.
Bussiness! Calenda
Server
A calendar server that supports the scheduling of meetings,
appointments, and resources for thousands of users.
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Product
Name / Category
Product Details
Bussine$s2 Chat
Sfirvfir
A newsgroup server that provides collaboration services
through discussion groups. Business! Chat Server also supports the
moderation of content and administration of discussion groups.
Bu$siness2
Messaging Server
An email server that delivers messages with embedded sound,
graphics, video files, HTML forms, Java applets, and desktop
applications.
Other Directory
& Security
Products
Business! sells a range of products that provide a user and
security management infrastructure for large— scale eCommerce,
extranet, and intranet applications.
Business! Certificate Management System -
issues and manages digital certificates for extranet and e—
commerce applications.
Business! Directory for Secure E-Commerce
— expands the capabilities of Business! Directory Server to
provide additional flexibility of user and security
administration for large-scale commerce and extranet
applications.
Business! Delegated Administrator -
provides customizable self-service administration for
customers and partners to manage their own user and account
information.
Busmess! Meta— Directory — enables
Business! Directory Server to be automatically synchronized
with relational databases as well as network operating system,
messaging, and enterprise resource planning system
directories
Business! Security Services — enables
developers to incorporate standard Internet security
technologies into applications.
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Product Details
Other Bussiness2
Products
Process Manager - Enables enterprises to automate
and modify business processes such as contract negotiation,
bidding and contractor management. Business2 Process Manager
supports the development and deployment of processes across
extranets and intranets, and manages them for overall efficiency
and precision.
Process Manager has four components:
Business2 Process Manager Builder - a visual
design environment for designing business processes
using intuitive features such as drag-and-drop
functionality and pick lists. Processes may be stored in
Business2's Directory Server.
Business2 Process Manager Engine - the
server-based engine that hosts processes designed with
PM Builder.
BusinessZ Process Manager Express -
browser-based user interface to Process Manager
business processes.
Business2 Process Manager Administrator -
browser-based interface for centrally managing Process
Manager business processes.
Compass Server - A profiling server that offers
search, browse and profiling capabilities to help administrators
gather and organize enterprise resources scattered across intranets
so that users can find and retrieve information more efficiently.
Media Server - An audio publishing, broadcasting,
and receiving system that enables the creation and delivery of
media-rich information, both inside and outside the enterprise.
Media server includes four components:
Media Server - play real-time audio feeds,
provide on-demand access to pre-recorded audio clips,
and synchronize audio with HTML documents, Java
applets, and JavaScript applications.
Media Proxy Server - a transparent
intermediary between Media Player and Media Servers
which provides safe passage through the firewall for
audio connections and operates as a reverse-proxy
outside a firewall.
Media Converter — compresses and converts
different audio formats.
Media Player - a plug-in needed to access
audio flies or a live feed from a Media Server.
1.4
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1.5 BusinessJ (www.businessS.com)
Business3 primarily provides Internet services for web users. It offers a variety of
services including internet access, portal sites, links to online shopping, and chatting.
Business3 offers a very limited set of Internet products as it focuses on providing Internet
services.
Product
Name / Category
Business3 NetMail
Product Details
A software application that allows BusinessS users to access
their Business3 mail through a standard web browser without any
BusinessS software.
BusinessSpress
A web publishing tool which may be published to any web
server, BusinessSpress offers the following capabilities:
• WYSIWYG editing
Simple interfaces for creating forms and
image maps
Integrated browsing and editing
simultaneously
"Check Links" function to fix broken links
Database interaction
Permissions setting
Work archive
Mini Web - site management tool that
provides graphical overview of website structure. It
provides a mechanism to save or move multiple pages
while maintaining appropriate links.
BusinessSserver
A multi-threaded web and publishing server that provides the
following capabilities:
Serves HTML pages and other media files
Runs CGI scripts and processes server— side
includes
Platform for dynamic web applications:
BusinessSserver Dynamic Pages (ADPs)
Supports BusinessSserver' s C and Tel
scripting and APIs
Supports database connectivity
Allows users to edit content across the
network with BusinessSpress or other authoring tools
Provides C API plug-in that can be used to
serve and rotate web advertisements, as on BusinessS's
site.
Supports simultaneous connections through
multi— threading and in-memory caching
Supports site administration tasks including
account management, document management (automatic
version control and archiving), link management, and
access control
Web-based server and page administration
Provides support for Art Technology Group's
Dynamo server
BusinessSserver is used extensively on BusinessS's sites and a
number of other Internet sites including the following: primehost.com,
BusinessS.com, digitalcity.com, tile.net, am.net, worldpages.com.
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Product
Name / Category
Product Details
Clients Instant
Productl
A soitware application that provides online chatting
capabilities, directory services for user profiles, and personalized
news.
Clients Browser
A browser based upon Microsoft s Internet Explorer which
supports common internet services such as graphics, sound, meta-
tags, plug-ins, security, FTP, HTTP.
Clients Client
A software application installed on end— user's machines to
obtain access to BusinessS's private network. BusinessS Business
communicates with a host in Virginia through a proprietary protocol.
Clients Caching
Server
A server software that determines if a web page object should
be cached and when it should be check for a new version. This
procedure, instituted in the BusinessS proxy subsystem improves the
performance of a website. BusinessS Caching Server detects images
and automatically compresses them for quick storage and access.
Now that the details regarding the presentation aspects have been set forth,
information will be provided relating to the specific web architecture framework of the
present invention. An overview of the hardware and software involved in implementation
5 of the present invention will first be described after which the web architecture will be
described in detail.
A preferred embodiment of a system in accordance with the present invention is
preferably practiced in the context of a personal computer such as an IBM compatible
personal computer, Apple Macintosh computer or UNIX based workstation. A
10 representative hardware environment is depicted in Figure 2 A, which illustrates a typical
hardware configuration of a workstation in accordance with a preferred embodiment having
a central processing unit 70, such as a microprocessor, and a number of other units
interconnected via a system bus 71. The workstation shown in Figure 2A includes a
Random Access Memory (RAM) 73, Read Only Memory (ROM) 74, an I/O adapter 75 for
15 connecting peripheral devices such as disk storage units 76 to the bus 71, a user interface
adapter 78 for connecting a keyboard 79, a mouse 80, a speaker 81, a microphone 82,
and/or other user interface devices such as a touch screen (not shown) to the bus 71,
communication adapter 83 for connecting the workstation to a communication network
(e.g., a data processing network) and a display adapter 84 for connecting the bus 71 to a
20 display device 85. The workstation typically has resident thereon an operating system such
as the Microsoft Windows NT or Windows/95 Operating System (OS), the IBM OS/2
operating system, the MAC OS, or UNIX operating system. Those skilled in the art will
appreciate that the present invention may also be implemented on platforms and operating
systems other than those mentioned.
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A preferred embodiment is written using JAVA, C, and the CH-+ language and
utilizes object oriented programming methodology. Object oriented programming (OOP)
has become increasingly used to develop complex applications. As OOP moves toward the
mainstream of software design and development, various software solutions require
5 adaptation to make use of the benefits of OOP. A need exists for these principles of OOP
to be applied to a messaging interface of an electronic messaging system such that a set of
OOP classes and objects for the messaging interface can be provided.
OOP is a process of developing computer software using objects, including the
steps of analyzing the problem, designing the system, and constructing the program. An
10 object is a software package that contains both data and a collection of related structures
and procedures. Since it contains both data and a collection of structures and procedures, it
can be visualized as a self-sufficient component that does not require other additional
structures, procedures or data to perform its specific task. OOP, therefore, views a
computer program as a collection of largely autonomous components, called objects, each
15 of which is responsible for a specific task. This concept of packaging data, structures, and
procedures together in one component or module is called encapsulation.
In general, OOP components are reusable software modules which present an
interface that conforms to an object model and which are accessed at run-time through a
component integration architecture. A component integration architecture is a set of
20 architecture mechanisms which allow software modules in different process spaces to
utilize each others capabilities or functions. This is generally done by assuming a common
component object model on which to build the architecture. It is worthwhile to differentiate
between an object and a class of objects at this point. An object is a single instance of the
class of objects, which is often just called a class. A class of objects can be viewed as a
25 blueprint, from which many objects can be formed.
OOP allows the programmer to create an object that is a part of another object. For
example, the object representing a piston engine is said to have a composition-relationship
with the object representing a piston. In reality, a piston engine comprises a piston, valves
and many other components; the fact that a piston is an element of a piston engine can be
30 logically and semantically represented in OOP by two objects.
OOP also allows creation of an object that "depends fi-om" another object. If there
are two objects, one representing a piston engine and the other representing a piston engine
wherein the piston is made of ceramic, then the relationship between the two objects is not
that of composition. A ceramic piston engine does not make up a piston engine. Rather it
35 is merely one kind of piston engine that has one more limitation than the piston engine; its
piston is made of ceramic. In this case, the object representing the ceramic piston engine is
called a derived object, and it inherits all of the aspects of the object representing the piston
engine and adds further limitation or detail to it. The object representing the ceramic piston
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engine "depends from" the object representing the piston engine. The relationship between
these objects is called inheritance.
When the object or class representing the ceramic piston engine inherits all of the
aspects of the objects representing the piston engine, it inherits the thermal characteristics
5 of a standard piston defined in the piston engine class. However, the ceramic piston engine
object overrides these ceramic specific thermal characteristics, which are typically different
from those associated with a metal piston. It skips over the original and uses new functions
related to ceramic pistons. Different kinds of piston engines have different characteristics,
but may have the same underlying functions associated with it (e.g., how many pistons in
10 the engine, ignition sequences, lubrication, etc.). To access each of these functions in any
piston engine object, a programmer would call the same functions with the same names, but
each type of piston engine may have different/overriding implementations of functions
behind the same name. This ability to hide different implementations of a function behind
the same name is called polymorphism and it greatly simplifies communication among
15 objects.
With the concepts of composition-relationship, encapsulation, inheritance and
polymorphism, an object can represent just about anything in the real world. In fact, our
logical perception of the reality is the only limit on determining the kinds of things that can
become objects in object-oriented software. Some typical categories are as follows:
20 • Objects can represent physical objects, such as automobiles in a
traffic-flow simulation, electrical components in a circuit-design program,
countries in an economics model, or aircraft in an air-traffic-control system.
• Objects can represent elements of the computer-user environment
such as windows, menus or graphics objects.
25 • An object can represent an inventory, such as a personnel file or a
table of the latitudes and longitudes of cities.
• An object can represent usei^defined data types such as time,
angles, and complex numbers, or points on the plane.
30 With this enormous capability of an object to represent just about any logically
separable matters, OOP allows the software developer to design and implement a computer
program that is a model of some aspects of reality, whether that reality is a physical entity, a
process, a system, or a composition of matter. Since the object can represent anything, the
software developer can create an object which can be used as a component in a larger
35 software project in the future.
If 90% of a new OOP software program consists of proven, existing components
made from preexisting reusable objects, then only the remaining 10% of the new software
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project has to be written and tested from scratch. Since 90% already came from an
inventory of extensively tested reusable objects, the potential domain from which an error
could originate is 10% of the program. As a result, OOP enables software developers to
build objects out of other, previously built objects.
5 This process closely resembles complex machinery being built out of assemblies
and sub-assemblies. OOP technology, therefore, makes software engineering more like
hardware engineering in that software is built from existing components, which are
available to the developer as objects. All this adds up to an improved quality of the
software as well as an increased speed of its development.
10 Programming languages are beginning to fiilly support the OOP principles, such as
encapsulation, inheritance, polymorphism, and composition-relationship. With the advent
of the C-H- language, many commercial software developers have embraced OOP. C-H- is
an OOP language that offers a fast, machine-executable code. Furthermore, C++ is
suitable for both commercial-application and systems-programming projects. For now,
15 C++ appears to be the most popular choice among many OOP programmers, but there is a
host of other OOP languages, such as Smalltalk, Common Lisp Object System (CLOS), and
Eiffel. Additionally, OOP capabilities are being added to more traditional popular
computer programming languages such as Pascal.
The benefits of object classes can be summarized, as follows:
20 • Objects and their corresponding classes break down complex
programming problems into many smaller, simpler problems.
• Encapsulation enforces data abstraction through the organization of
data into small, independent objects that can communicate with each other.
Encapsulation protects the data in an object from accidental damage, but allows
25 other objects to interact with that data by calling the object's member functions and
structures.
• Subclassing and inheritance make it possible to extend and modify
objects through deriving new kinds of objects from the standard classes available in
the system. Thus, new capabilities are created without having to start from scratch.
30 • Polymorphism and multiple inheritance make it possible for
different programmers to mix and match characteristics of many different classes
and create specialized objects that can still work with related objects in predictable
ways.
• Class hierarchies and containment hierarchies provide a flexible
35 mechanism for modeling real-world objects and the relationships among them.
• Libraries of reusable classes are useful in many situations, but they
also have some limitations. For example:
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• Complexity. In a complex system, the class hierarchies for related
classes can become extremely confusing, with many dozens or even hundreds of
classes.
• Flow of control. A program written with the aid of class libraries is
5 still responsible for the flow of control (i.e., it must control the interactions among
all the objects created from a particular library). The programmer has to decide
which functions to call at what times for which kinds of objects.
• Duplication of effort. Although class libraries allow programmers
to use and reuse many small pieces of code, each programmer puts those pieces
10 together in a different way. Two different programmers can use the same set of
class libraries to write two programs that do exactly the same thing but whose
internal structure (i.e., design) may be quite different, depending on hundreds of
small decisions each programmer makes along the way. Inevitably, similar pieces
of code end up doing similar things in slightly different ways and do not work as
1 5 well together as they should.
Class libraries are very flexible. As programs grow more complex, more
programmers are forced to reinvent basic solutions to basic problems over and over again.
A relatively new extension of the class library concept is to have a framework of class
20 libraries. This framework is more complex and consists of significant collections of
collaborating classes that capture both the small scale patterns and major mechanisms that
implement the common requirements and design in a specific application domain. They
were first developed to free application programmers from the chores involved in
displaying menus, windows, dialog boxes, and other standard user interface elements for
25 personal computers.
Frameworks also represent a change in the way programmers think about the
interaction between the code they write and code written by others. In the early days of
procedural programming, the programmer called libraries provided by the operating system
to perform certain tasks, but basically the program executed down the page from start to
30 finish, and the programmer was solely responsible for the flow of control. This was
appropriate for printing out paychecks, calculating a mathematical table, or solving other
^ problems with a program that executed in just one way.
The development of graphical user interfaces began to turn this procedural
programming arrangement inside out. These interfaces allow the user, rather than program
35 logic, to drive the program and decide when certain actions should be performed. Today,
most personal computer software accomplishes this by means of an event loop which
monitors the mouse, keyboard, and other sources of external events and calls the
appropriate parts of the programmer's code according to actions that the user performs.
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The programmer no longer determines the order in which events occur. Instead, a program
is divided into separate pieces that are called at unpredictable times and in an unpredictable
order. By relinquishing control in this way to users, the developer creates a program that is
much easier to use. Nevertheless, individual pieces of the program written by the developer
5 still call libraries provided by the operating system to accomplish certain tasks, and the
programmer must still determine the flow of control within each piece after it's called by
the event loop. Application code still "sits on top of the system.
Even event loop programs require programmers to write a lot of code that should
not need to be written separately for every application. The concept of an application
10 framework carries the event loop concept further. Instead of dealing with all the nuts and
bolts of constructing basic menus, windows, and dialog boxes and then making these things
all work together, programmers using application frameworks start with working
application code and basic user interface elements in place. Subsequently, they build from
there by replacing some of the generic capabilities of the framework with the specific
15 capabilities of the intended application.
Application frameworks reduce the total amount of code that a programmer has to
write from scratch. However, because the framework is really a generic application that
displays windows, supports copy and paste, and so on, the programmer can also relinquish
control to a greater degree than event loop programs permit. The framework code takes
20 care of almost all event handling and flow of control, and the programmer's code is called
only when the framework needs it (e.g., to create or manipulate a proprietary data
structure).
A programmer writing a framework program not only relinquishes control to the
user (as is also true for event loop programs), but also relinquishes the detailed flow of
25 control within the program to the framework. This approach allows the creation of more
complex systems that work together in interesting ways, as opposed to isolated programs,
having custom code, being created over and over again for similar problems.
Thus, as is explained above, a framework basically is a collection of cooperating
classes that make up a reusable design solution for a given problem domain. It typically
30 includes objects that provide default behavior (e.g., for menus and windows), and
programmers use it by inheriting some of that default behavior and overriding other
behavior so that the framework calls application code at the appropriate times.
There are three main differences between firameworks and class libraries:
• Behavior versus protocol. Class libraries are essentially collections
35 of behaviors that you can call when you want those individual behaviors in your
program. A framework, on the other hand, provides not only behavior but also the
protocol or set of rules that govern the ways in which behaviors can be combined,
including rules for what a programmer is supposed to provide versus what the
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framework provides.
• Call versus override. With a class library, the code the programmer
instantiates objects and calls their member functions. It's possible to instantiate
and call objects in the same way with a framework (i.e., to treat the framework as a
5 class library), but to take full advantage of a framework's reusable design, a
programmer typically writes code that overrides and is called by the framework.
The framework manages the flow of control among its objects. Writing a program
involves dividing responsibilities among the various pieces of software that are
called by the framework rather than specifying how the different pieces should
10 work together.
• Implementation versus design. With class libraries, programmers
reuse only implementations, whereas with frameworks, they reuse design. A
framework embodies the way a family of related programs or pieces of software
work. It represents a generic design solution that can be adapted to a variety of
15 specific problems in a given domain. For example, a single framework can embody
the way a user interface works, even though two different user interfaces created
with the same framework might solve quite different interface problems.
Thus, through the development of frameworks for solutions to various problems
20 and programming tasks, significant reductions in the design and development effort for
software can be achieved. A preferred embodiment of the invention utilizes HyperText
Markup Language (HTML) to implement documents on the Internet together with a
general-purpose secure communication protocol for a transport medium between the client
and the Newco. HTTP or other protocols could be readily substituted for HTML without
25 undue experimentation. Information on these products is available in T. Bemers-Lee, D.
Connoly, "RFC 1866: Hypertext Markup Language - 2.0" (Nov. 1995); and R. Fielding, H,
Frystyk, T. Bemers-Lee, J. Gettys and J.C. Mogul, "Hypertext Transfer Protocol —
HTTP/1.1: HTTP Working Group Internet Draft" (May 2, 1996). HTML is a simple data
format used to create hypertext documents that are portable from one platform to another.
30 HTML documents are SGML documents with generic semantics that are appropriate for
representing information from a wide range of domains. HTML has been in use by the
World-Wide Web global information initiative since 1990. HTML is an application of ISO
Standard 8879; 1986 Information Processing Text and Office Systems; Standard
Generalized Markup Language (SGML).
35 To date, Web development tools have been limited in their ability to create dynamic
Web applications which span from client to server and interoperate with existing computing
resources. Until recently, HTML has been the dominant technology used in development of
Web-based solutions. However, HTML has proven to be inadequate in the following areas:
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• Poor performance;
• Restricted user interface capabilities;
• Can only produce static Web pages;
• Lack of interoperability with existing applications and data; and
5 • Inability to scale.
Sun Microsystem's Java language solves many of the client-side problems by:
• Improving performance on the client side;
• Enabling the creation of dynamic, real-time Web applications; and
10 • Providing the ability to create a wide variety of user interface components.
With Java, developers can create robust User Interface (UI) components. Custom
"widgets" (e.g., real-time stock tickers, animated icons, etc.) can be created, and client-
side performance is improved. Unlike HTML, Java supports the notion of client-side
15 validation, offloading appropriate processing onto the client for improved performance.
Dynamic, real-time Web pages can be created. Using the above-mentioned custom UI
components, dynamic Web pages can also be created.
Sun's Java language has emerged as an industry-recognized language for
"programming the Internet." Sun defines Java as: "a simple, object-oriented, distributed,
20 interpreted, robust, secure, architecture-neutral, portable, high-performance,
multithreaded, dynamic, buzzword-compliant, general-purpose programming language.
Java supports programming for the Internet in the form of platform-independent Java
applets." Java applets are small, specialized applications that comply with Sun's Java
Application Programming Interface (API) allowing developers to add "interactive content"
25 to Web documents (e.g., simple animations, page adornments, basic games, etc.). Applets
execute within a Java-compatible browser (e.g., Netscape Navigator) by copying code from
the server to client. From a language standpoint, Java's core feature set is based on C+-H.
Sun's Java literature states that Java is basically, "C++ with extensions from Objective C for
more dynamic method resolution."
30 Another technology that provides similar function to JAVA is provided by
Microsoft and ActiveX Technologies, to give developers and Web designers wherewithal to
build dynamic content for the Internet and personal computers. ActiveX includes tools for
developing animation, 3-D virtual reality, video and other multimedia content. The tools
use Internet standards, work on multiple platforms, and are being supported by over 100
35 companies. The group's building blocks are called ActiveX Controls, small, fast
components that enable developers to embed parts of software in hypertext markup
language (HTML) pages. ActiveX Controls work with a variety of programming languages
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including Microsoft Visual C++, Borland Delphi, Microsoft Visual Basic programming
system and, in the ftiture, Microsoft's development tool for Java, code named "Jakarta."
ActiveX Technologies also includes ActiveX Server Framework, allowing developers to
create server applications. One of ordinary skill in the art readily recognizes that ActiveX
5 could be substituted for JAVA without undue experimentation to practice the invention.
DEVELOPMENT FRAMEWORK (IDEA)
Figure 2B is an illustration of the Integrated Development Environment
Architecture (IDEA). The Integrated Development Environment Architecture provides a
development environment framework and associated guidelines that reduce the effort and
10 costs involved with designing, implementing, and maintaining an integrated development
environment. IDEA takes a holistic approach to the development environment by
addressing all three Business Integration components: organization, processes, and tools.
The development environment is a production environment for one or several
systems development projects as well as for maintenance efforts. It requires the same
15 attention as a similarly sized end-user execution environment.
The purpose of the development environment is to support the tasks involved in the
analysis, design, construction, and maintenance of business systems, as well as the
associated management processes. The environment should adequately support a// the
development tasks, not just the code/compile/test/debug cycle. Given this, a comprehensive
20 framework for understanding the requirements of the development environment is be used.
Another reason for the comprehensive framework is that it is important to get the
development environment right the first time. Changing the development environment
when construction is fully staffed entails serious disruptions and expensive loss of
productivity.
25 Experience has shown that within the same medium- to large-size project, with the
same people, moving from a poor to a good development environment, productivity is
improved by a factor often for many tasks. The improvements come in two categories:
• The elimination of redundant and non value-added tasks
• The streamlining of useful tasks
^0 While it seems intuitive that most tasks can be streamlined, the following list gives
a few examples of redundant tasks that must be eliminated:
• Analysis to determine how to merge the uncoordinated changes applied by
two programmers to the same module
• Re-entry of the source code and retesting of a module, which was
35 accidentally deleted
• Recurring discussions about "what a design packet should contain" or
"what constitutes good programming style in a particular context"
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• Repeated design, coding, testing, and maintenance of very similar logic (for
example, error handling, date conversion and manipulation, main structure of a module)
• Searching for the manuals of a particular productivity tool to find
information
5 • Remigration to system test of a cycle, because the impact analysis for a
change request was incomplete
• Requesting support from another team (for example, environment support,
information management) and waiting unnecessarily for a response
On a smaller project, these problems can be solved using a brute force approach.
10 This becomes very expensive as the project grows, and finally impossible . A well-
designed development environment becomes important as the project team reaches 20-30
people and is absolutely critical with a project size of more than 50 people.
The investment required to design, set up, and tune a comprehensive, good
development and maintenance environment is typically several hundred development days.
15 Numbers between 400 and 800 days are commonly seen, depending on the platforms, target
environment complexity, amount of reuse, and size of the system being developed and
maintained.
DEVELOPMENT ORGANIZATION FRAMEWORK
Figure 2C is an illustration showing a Development Organization Framework in
20 accordance with one embodiment of the present invention. When designing a business
application, it is crucial to keep in mind the organization that will use the system. The same
is true of the development environment. The development organization's size, structure,
experience, and maturity should strongly influence the choice of tools and the way the tools
are integrated. If this link is not understood, the benefit of tool support will be minimal in
25 many areas, and may significantly reduce productivity.
In the same way, when a new business capability is introduced, it is crucial to keep
in mind the needs for training and organizational change that which may accompany the
technical change. This is also true of the development environment. When a new
development environment is put in place, the developers need to learn not only how each
30 individual tool works (for example, how to use the compiler), but also how the tools work
together to support the organization as it performs well defined processes.
The Business Integration Methodology (BIM) provides valuable information on
organizational issues.
Relying on the Business Integration Methodology and its project organization
35 guidelines (0940 - Organize Project Resource Task Package), the following should be
prepared:
• A list of responsibilities covering both responsibilities for end products and
those for on— going processes
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• A Responsibility, Accountability, and Authority profiles deliverable (RAA)
for each role in the Development team, making sure that all the responsibilities listed
earlier are covered
The RAA profiles deliverable consists of statements about the responsibilities,
5 accountability, and authority of each of the positions in the development organization.
These statements define the role of each position in terms of:
• Responsibility — What objectives the position is expected to accomplish
• Accountability — How and by whom the performance will be measured
• Authority — The position's decision-making capabilities and limits
10 In accordance with the IDEA Model, the following management teams with
responsibilities for the key management functions are defined as:
• The Information Management team 202
• The Quality team 204
• The Environment Management team 206
15 • The Release Management team 208
• The Configuration Management team 210
• The Problem Management team 212
• The Program and Project Management teams 214
• The Security Management team 216
20 Together, these teams support the efforts of the System Building team, which is
charged with the analysis, design, build, and test of the system to be developed. These
teams represent real roles, and on a given program the same people may play different roles.
Security Management
The evolution of new technologies and expanded access to a virtual world has
25 increased the security risk of conducting business. It is therefore essential to recognize the
need for a new unit in the organization, specifically dedicated to ensuring that security is
handled appropriately. At the Program level, the Security Management unit needs to:
• Ensure all security issues are effectively addressed throughout the program
(all business and IT processes).
^0 • Act as facilitator and approving body for all new and existing initiatives
that contain security components.
• Own responsibility for the organization and facilitation of working groups
that would address security issues.
• Be responsible for development and maintenance of the Security Plan.
35 Figure 3 is an illustration showing a security organization according to one
embodiment of the present invention. A Security Management Team may have a security
management 300, under which are an administration team 302, a projects & planning team
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304, and a business process security team 306. The size of the Security Management team,
and the way in which it is integrated into the development organization depends on the
degree to which security is a factor for each specific environment. For example, the
security risks associated with an Internet-based online banking system are far greater than
5 those of a fully isolated client/server system, and therefore warrant a larger team with
broader responsibilities and greater influence.
More details about the Security Management team, and other security aspects can
be found in the Security in eComerce Executive Planning and Implementation Guides to be
published by Global TIS Security.
10 Information Management
The Information Management team is responsible for ensuring that the project's
knowledge capital and information resources are managed effectively. This includes:
• Ensuring integrity
• Ensuring accessibility
15 • Ensuring quality and consistency
Information Management encompasses Repository management, but generally has a
broader scope than merely the repository contents, because most repositories are not
capable of holding all the information resources of a project. It is, for example, common to
have key project information reside in a combination of repositories, teamware databases,
20 flat files, and paper documents. It is the Information Management team's responsibility to
ensure consistency across all these formats.
The responsibilities of the Information Management team therefore cover:
• Repository Management
• Folder Management
25 • Object Management
• Media Content Management
• Information and data reuse coordination
In addition to managing the information for the System Building team, the
Information Management team must also manage the information resources of the other
30 management processes - quality management, environment management, and project
management.
In order to delineate the responsibilities of the Information Management team, it is
useful to state those areas that are out of scope. The following are not included:
• Performance of daily backups - this is handled by the Environment
35 Management team
• Database administration - this is part of the Architecture team
responsibilities
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• Performance tuning of the information repositories - this is handled by
Environment Management
Repository Management
The Information Management team is ultimately responsible for the contents of the
5 repository. They need to have an intimate understanding of the repository structure and the
rules that govern how different objects should be stored in the repository. Although most of
the input to the repository are entered by designers, the Repository Management team must
manage this population process. Rather than taking a policing role on the project, they
should work as facilitators - helping the designers do things correctly the first time, thereby
10 maintaining the integrity of the repository. Without strong repository management, the
benefits of using a repository quickly diminish.
In many situations the Information Management team must make decisions that
affect functional areas. To empower the Information Management team, the Application
teams should include the Information Management team in relevant design discussions.
15 This facilitates the validation of design outputs.
Folder Management
Folders (or directories) can be very useful in gaining control over the overwhelming
amount of information produced on a large project. Their utility greatly increases if they
are managed appropriately. This management is based on easy-to-follow, easy-to-
20 enforce standards.
Object Management
The responsibilities involved with object management are very similar to those
involved with repository management. However, in order to facilitate and promote reuse, it
is recommended to have a librarian whose responsibilities include:
25 • Reviewing designs
• Packaging classes and components for reuse
• Managing maintenance and upgrades of common components (a strong
relationship with Configuration Management team is required)
Media Content Management
30 The methods of handling media content are somewhat different from those
surrounding more traditional development content such as code or documentation, for this
reason, a role should be defined that is responsible for the management of all media
content.
Quality Management
35 The Quality team is responsible for defining and implementing the Quality
Management Approach, which means defining what Quality means for the Program
Leadership, and then implementing the procedures, standards, and tools required to ensure
the delivery of a quality program. The Quality Management Approach addresses concepts
such as expectation management, quality verification, process management, metrics, and
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continuous improvement.
Since quality is the result of the interaction of many teams working on multiple
processes, the Quality team is responsible for ensuring effective cooperation between teams
and good integration of the development processes. The Quality team must therefore forge
5 strong links with all the other project teams.
It is important to note that the Quality team is not only responsible for ensuring the
quality of the system building process. The Quality team is also directly involved in
ensuring the quality of the other IDEA management processes.
Program & Project Management
10 The Program Management team is responsible for delivering business capability.
In this respect, it is responsible for the System Building and other management teams. In
addition, other management responsibilities that do not have a specific team or role defined
within IDEA also belong to the Program Management team. These include:
• Contingency Management
15 • Financial Management
• Issue Management (decisions to be made regarding the development of the
business capability,
• not to be confused with problem management)
• Program Performance Reporting
20 • Resource Management
• Risk Management
• Vendor Management
The Project Management team is responsible for producing a deliverable or set of
deliverables. As such, it is responsible for:
25 • Planning and control of delivery
• Milestones and schedule
• Resource consumption
• Risk and quality (at deliverable level)
Configuration Management
30 The Configuration Management team is responsible for defining the approach the
program takes to deal with scope, change control, version control, and migration control,
and for putting in place the policies, processes, and procedures required to implement this
approach.
In other words, the team is responsible for maintaining the integrity of software and
35 critical documents as they evolve through the delivery life cycle from analysis through
deployment.
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Release Management
Delivering a system on a release-based approach means delivering the system in a
series of consecutive releases, increasing or refining functionality progressively. Some of
the main drivers to such an approach include:
5 •To release business benefits early
• To mitigate impact on the organization
• To keep the change program up to date
• To optimize processes
• To test proof of concept
10 •To reduce risk
The Release Management team is responsible for:
• Planning the capability release design and development effort, based on the
capability development approach and timeline.
• Measuring and monitoring progress using established processes to ensure
15 that a capability release is delivered on time, within budget, and that it meets or exceeds
expectations.
• Managing project interdependencies to ensure delivery of the capability
release.
• Ensuring that resources are used effectively across projects for the release.
20 As with many other management responsibilities described in IDEA, Release
Management is more a role than a function. It is good practice to have as many areas as
possible represented in the Release Management team; for example. Design, Construction,
Configuration, and Environment Management team members would make up a typical
Release Management team, each providing input based on their own perspective.
25 Environment Management
Just as a business application requires support and system users require service, the
development environment requires system operations daily, and developers require ongoing
support in order to use the environment effectively (In fact, the complexity and frequency
of these operations is often greater than that of the execution environment).
30 To ensure that this area receives the necessary attention, an Environment
Management team 400 should be assigned these tasks. Figure 4 is an illustration showing
the Environmental Management Team responsibilities.
The Service Group 402 serves as a single point of contact for developers. It
interfaces with the Architecture team to provide answers to questions from developers. To
35 avoid adding overhead to the issue resolution process, the support group must be staffed
adequately to ensure that all questions are answered. For example, the support group
should recruit people from the Technology Infrastructure team at the completion of
Technology Infrastructure development.
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Problem Management
Problem Management is concerned with the discrepancies that result from the
testing process and the management of design problems detected during verification or
validation steps throughout the development process.
5 The Problem Management team is responsible for defining the problem tracking
and solution process, and for providing tools and procedures to support the solution
process.
System Building
The Business Integration Methodology (BIM) describes System Building under the
10 following activities:
• Design application
• Build and test application
• Design technology infrastructure
• Build and test technology infrastructure
15 For this reason, the System Building teams are organized into application and
technology Infrastructure.
Application Team
The Application team 500 consists of three separate subteams: Application
Architecture 502, Application Development 504, and System Test 506. Figure 5 is an
20 illustration showing the Application Team structure and responsibilities.
The structure of the Application team evolves as the development process continues
- as the development of the application architecture components is completed, the
Application Architecture team's roles may change. While the team continues maintaining
the application architecture components, some team members may be deployed to the
25 Application Development team. Here their roles can include helping application developers
to correctly use the architecture components, providing development support, and
performing code reviews, and so forth.
As systems become more user-facing, important new roles are emerging that must
be integrated into the Application Development teams:
30 a) Media Content Design
For any system with a user-facing component, it is extremely important that media
and design specialists are involved as team members at an early stage in the design of the
system. In systems with simple user interfaces, this helps to ensure usability and
consistency. As user interfaces become more complex, the early involvement of design
35 experts not only leads to more creative and attractive user interfaces, but also reduces the
risk of further alteration to work at a later stage.
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b) Usability
Often coupled with Media Content Design, it is vital that a role for usability is
defined within the Application Development teams. This will ensure the usability of the
system from the perspective of target user groups.
5 Technology Infrastructure Team
The technology infrastructure evolves throughout the project and responsibility for
managing and evolving the infrastructure must be clearly defined. Therefore, rather than
having a single amorphous 'technical team' (responsible for operations, support, architecture
evolution, and more), it is important to define a dedicated technology infrastructure team.
10 By allowing the technology infrastructure team to focus on the technology infrastructure,
rather than the day to day running of the environment, the project increases the chances that
the technology infrastructure will provide good support for the business applications.
In practice, the Technology Infrastructure team is the team that will implement the
IDEA framework.
15 The Technology Infrastructure team is responsible for:
• Data design and management
• Database administration
• Database tuning
• Execution architecture design and construction
20 • Development architecture design and construction
• Operations architecture design and construction
• Network design
• Technical standards design and documentation
• System software selection
25 • Performance tuning of the final system
• Security infrastructure development
Note: The responsibilities of the Technology Infrastructure team may overlap with
those of the Application Architecture team, and on some projects the two teams are often
combined.
30 DEVELOPMENT PROCESSES FRAMEWORK
A thorough understanding of the development processes is a prerequisite for
ensuring that the tools effectively support the organization and the processes they are
intended to support.
The Development Process Model
35 The Development Process Model is a framework that facilitates the analysis of the
many concurrent processes of systems development. This analysis helps understand
process interaction, which, in turn, affects organizational interaction and defines a need for
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tools integration.
The Process model is simple - at its core is the system building process, which is
surrounded by eight key management processes.
The core activity — systems building, depends strongly on support from the
5 surrounding management processes, which all affect each other:
a) Information Management manages the information that supports the entire
project - information that is used both in systems building and in other management
processes
b) Security Management covers all areas of development security, from coding
10 standards, to security verification,
c) Quality Management pertains to all areas of the development environment
d) Program and Project Management must manage all the management processes
in addition to managing the systems building process
e) Environment Management supports the environment where management
15 processes are performed, and where systems are being built
J) Release Management manages the simultaneous development of multiple
releases
g) Configuration Management, often closely linked with release management
covers the version control migration control and change control of system components
20 such as code and its associated documentation
h) Problem Management pertains to the problem tracking and solution process
Process Definition
For a given project, each of the processes must be defined at a greater level of detail
than that which any methodology can achieve. This additional specification consists of a
25 set of procedures and standards that specify how to perform the work and what to produce
at each step.
Standards specify what the results should look like. They may include industry
standards and more formal (de jure) standards, such as POSIX compliance, but most
standards are project specific and determine, for example, how to structure and name
30 system components and where to place system components. Standards make it possible for
a large team to exchange information effectively and to work productively together.
Standards should focus on what must be common, and should not become a goal in
themselves. Erring on the side of over-standardization stifles productivity. It is, however,
often the case that unforeseen events (such as platform demise, tool evolution) will be
35 easier to tackle the more unified the development approach has been. Unfortunately, there
is no substitute for experience when making the detailed decisions on exactly what should
be standardized. Factors to take into account must at least include:
• Life expectancy of the system under development - the higher the life
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expectancy, the more standards are warranted
• Life expectancy of the development organization — the higher the life
expectancy, the more standards are justified
• Attrition - a stable organization can tackle more detailed standards than a
5 volatile one
• Expected change in the environment - a high rate of change provides
greater opportunity to reap the benefits of a standardized approach
Procedures specify how to perform a task. They are generally guided by the
methodology but provide information at a lower level of detail. They are highly
10 environment-specific, and take into account the organization, the standards, and the tools in
the environment. Procedures often specify the techniques to be used. They may specify
which tools to use and how to use the tools that support these techniques.
Many processes require individual judgment, and the way to perform these
processes cannot be specified in detail. In such cases, it may be valuable to provide
15 guidelines that do not have the mandatory flavor of procedures but rather that of valuable
advice.
While it is easy to generate zeal to set up standards and procedures at the beginning
of a project, it can sometimes be more difficult to ensure that these are enforced throughout
the project. Two considerations are useful. Firstly, standards must be easy to follow. It
20 should be easier to follow the standard than doing things any other way. This is generally
achieved by supplying the training, tools, and support needed to facilitate a given work
style. For example, developing and distributing application program shells, which respect
the architecture and standards, facilitates programming and contributes to ensuring broad
standards compliance. Secondly, the responsibility for enforcing standards must be clearly
25 identified and assigned. Standards enforcement must take place as a natural part of the
process and at well-defined check points before work flows to the next task, or (even more
importantly) to the next group or team.
A very useful way of complementing the specification of procedures is to provide
samples. Samples can sometimes convey a message much faster than pages of explanatory
30 prose. Sample programs are generally very useful. Other samples may include logs, which
demonstrate interaction with tools, a sample change request, or a sample request for
technical support. Samples can sometimes be created efficiently by taking screen dumps.
This can be much faster than specifying what the screen should look like in theory.
Samples and standards must be high quality - any quality breach will be multiplied
35 when developers start using them. It is therefore imperative that samples and standards not
be created in a vacuum but be based on concrete experience with the project's development
environment. Some pilot development work often proves extremely useful when fine
tuning the standards.
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When documenting the process, it is useful to develop an approach and process
description for each project segment and for each high-level process. This document
summarizes the support available for that segment or process. It refers to all the standards,
procedures, guidelines, and examples relevant to a collection of tasks. Such a summary
5 document makes it easier for developers to navigate the standards and hence to follow
them.
Process Integration
To ensure that the project team works effectively together, numerous processes
must be integrated. A simple example is provided by the required integration between
10 design and construction. A more subtle one is the integration of product quality inspection
and the continuous improvement process.
As process integration frequently involves several teams, it is crucial to understand
the interfaces between processes and teams to ensure good hand-offs. This understanding
must have a direct impact on tools integration, so that integrated processes are supported by
15 integrated tools. Tools that support multiple processes performed by the same individual
must, at a minimum, be integrated at the user interface level and should ideally be
integrated at the process level. Tools that support processes performed by different
individuals may only have to be integrated at the data level.
Security Management
20 Processes must be put into place in order to ensure security is properly designed
and built into the system that is being developed, including:
• Definition of security requirements based on business risk
• Development of security standards, guidelines and procedures
• Implementation of security controls
25 • Security validation
Security Requirement Definition
Security requirements are the outcome of the security Risk Assessment. This is the
process of identifying business risks, identifying system vulnerabilities or weaknesses that
can impact those risks, and recommending mechanisms to control the vulnerabilities.
30 Specific confidentiality, integrity and availability requirements for the new system and the
development environment are defined through this process.
Security Standards, Guidelines and Procedures
Security standards, guidelines and procedures provide security direction to the
implementation. They will help define how the security requirements developed through
35 the Risk Assessment must be addressed in all areas of the development environment. They
will include security standards for the development environment infrastructure, procedures
for the development processes, standards for the design of the security architecture and
security guidelines for programming. It is especially important to ensure the security of the
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development environment because if these systems are broken into and back doors are
introduced, it may lead to later compromise of the production system. It will be the
responsibility of all developers that these security controls are implemented and adhered to
throughout the development process.
5 Security Validation
In order to ensure the security of the system, periodical security audits should be
arranged, in order to verify that the processes and architecture and application components
that are being developed conform to security proven practices. This may be done by an
external body specializing in security (such as Global TIS - Security) in the form of
10 interviews, architecture and code reviews, and automated tool assessment.
Information Management (202)
A vast amount of information is generated within the development environment,
which needs to be carefully managed (for example, design documentation, application code,
media content, test plans and test data). Information Management generally involves
15 Repository Management, Folder Management and, where applicable. Object Management
and Media Content Management.
Since a number of teams rely on the service provided by the information
management team, it is important that the level of service to be provided be chosen
carefully, documented, and communicated. The arrangement should take the form of a
20 Service Level Agreement (SLA), Such an SLA typically defines how quickly a new data
element is created and how repository changes are communicated. More generally it
defines the division of responsibilities between the information management team and the
other project teams at a detailed level.
Repository Management (102)
25 Repository Management includes activities such as:
• Monitoring and controlling update activities in the repository
• Receiving and validating data element change requests
• Creating and modifying data elements
• Enforcing project standards regarding repository objects
30 • Validating the contents of the repository to avoid redundancy and
inconsistencies
• Ensuring accuracy of the repository contents so that the repository reflects
the applications being developed
• Importing and exporting from one repository to another
35 • Maintenance of the information model (or metamodel), which describes
how data is represented within the repository
As many repositories do not provide sufficient versioning functionality, it is
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common to have more than one repository on large projects. Typically, there may be one
repository for development, one for system test, and one for production. This allows better
control, but also requires significant resources to move repository objects from the
development environment to the system test environment. By merging the development and
5 system test repositories, the medium-sized project has a potential for productivity gains. If
these gains are to be realized, great care must be taken when making corrections during
system test. As a common repository is shared, any error analysis involving repository
objects must take into account the possibility that these objects could have changed since
the previous migration to system test. This situation can be managed by meticulously
10 maintaining a comprehensive change log.
Another reason for maintaining several copies of the repository is the existence of
concurrent projects focusing on different releases. If this is the case, it may be beneficial to
maintain delta repositories, which document those components that have been modified.
This requires strict repository management but the reward can be significant. It allows the
15 merging of several releases, which have implemented complementary functionality, but
which have modified a few shared components.
A single development environment may have to deal with multiple repositories:
• For functional reasons, one repository might be integrated with an upper-
case design tool and the other with a lowei^case generation tool
20 • In a multisite environment, repositories may be distributed over different
locations. In order to keep these repositories synchronized, well defined development
processes must be implemented.
Repository Management can be divided into the following areas:
25 • Security
• Maintenance
• Validation and mass change
• Analysis, reporting, and querying
Security
30 Restricted access to various repository object types is necessary to ensure high
quality repository content, because developers sometimes take shortcuts and make
unauthorized changes to meet their deadlines. When standards have been set, a good way
to enforce them is to restrict personnel through the use of locking mechanisms. Access to
repository object types will change throughout the project.
35 The data elements should usually be controlled by the Repository Management
team, because they are the basic building blocks of the system and have broad reuse.
Poorly defined data elements can cause inconsistency, redundancy, and generation errors.
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Data elements should therefore be locked at least by the time construction starts, and
possibly earlier, depending on the discipline of the team. Project members must be allowed
to browse the data elements, but only the Repository Management team should be allowed
to modify or unlock data elements. In some repositories, it is difficult to restrict the
5 creation of repository objects. If this is the case, it may be acceptable to let designers create
data elements if these are reviewed and locked at the end of each day. Increased control
can be obtained by having designers submit requests for new data elements to the repository
administrator. This allows the repository manager to evaluate whether the new data
element is justified, or whether an existing one should be used.
1 0 Repository Maintenance
a) Creating and maintaining data elements
Requests for data element changes can be forwarded using a database or paper-
based system. Based on functional and technical knowledge, the repository administrator
evaluates the requests and may involve other teams to make appropriate decisions.
15 The database used to request data element changes during design and programming
should be separate from the project's change request database. This will simplify and speed
up the change process. When data elements have to be changed during system test,
however, the impact can be much greater, and the regular change request database should
be used.
20 Whenever a data element is changed, impact analysis must be performed to
understand the side-effects. Where-used reports are useful to determine these side-
effects. The repository manager must be able to obtain the list of direct references and the
list of all components affected indirectly (transitive closure). In the latter case, a message
based on a record containing a group, which makes reference to a changed data element is
25 considered to be indirectly affected by the change.
When adding a data element, no functional equivalent must exist, because
redundancy creates difficulties for impact analysis and future maintenance.
b) Creating and maintaining other repository objects
The objects related to dialog definitions, reports, messages, and so forth, are usually
30 maintained by the designers and programmers. When the dialogs and report programs are
tested, approved, and ready to be promoted to the system test environment, the related
objects must be locked. This is the responsibility of the Repository Management team.
Repository Validation and Mass Changes
Keeping thousands of data elements consistent and in compliance with project
35 standards requires a sustained effort. This daily effort is crucial to avoid a massive clean-
up, which would be necessary if the repository manager ever lost control of the repository.
Detailed, project-specific standards should exist for defining repository objects.
These standards can form the basis for a repository validation program, which can run
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through the entire repository and report on detected deviations from standards. In some
cases, this program can also enforce the standard.
Mass changes to the repository can be performed when the validation reports show
the occurrence of many standards violations that follow a common pattern. This may occur
5 in cases where:
• Project standards have been incomplete
• Project standards have changed
• Repository management has been poor
• New objects have been imported from another repository
10 Analysis, Reports, and Queries
Certain reports should be run daily, such as the list of new data elements or
modified data elements. These reports can serve as an audit trail of changes and can be
used to communicate changes to the entire team. Procedures should specify which reports
are run daily and what their distribution should be.
15 The Repository Management team performs certain analyses repeatedly. Standard
analyses such as impact analyses should be specified in detail to facilitate staffing
flexibility.
When supporting specific kinds of repository analysis, the Repository Management
team can provide custom reports or ad hoc queries that satisfy particular needs.
20 Folder Management (104)
It is important to set up and communicate a detailed folder structure with specified
access rights from the beginning. Contents of folders must be checked regularly to ensure
that folders contain what they are supposed to.
Two main strategies exist.
25 • Folders can be organized by type of component so that one folder
contains all the include files, one folder contains the source modules, one folder
contains executables, and so on.
• Folders can also be organized functionally so that all the common
components reside in one folder and each application area stores its components in its
30 own folder.
Choosing the strategy depends on how components are named, on the number of
components, and on the tools used. If naming standards make it easy to identify the
component type (for example, by using suffixes), organizing them by functional area is
generally useful and straightforward to administer. Some tools assume that closely linked
35 files (for example, source and object modules) reside in the same folder.
Another important distinction is the one between work in progress and completed
documents that have been approved. This distinction can be supported by a folder structure
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with carefully chosen access rights.
This distinction makes it easy to retrieve a consistent copy of project
documentation for someone who is new to the project.
While scratch folders may be useful in certain contexts, the proliferation of
5 miscellaneous folders with cryptic names can make it very difficult to navigate the
information. Some useful guidelines include:
• Keep the folder structure under central control.
• Within personal folders, allow users to create any folder structure.
• Clearly assign ownership for the contents of each folder.
10 • Document each folder, either in a central location, or in the form of a
readme type file within the folder itself. The high-level documentation should include
the purpose of the folder and the kinds of contents it should hold.
• Perform regular clean-up, by backing up redundant or misplaced files and
then removing them.
15 Media Content Management (106)
The unique nature of media content means that it cannot be treated in the same way
as 'standard* formats, such as source code or design documentation. The major
differentiating factors are its sheer volume (media files can range from a Kilobyte to
multiple Gigabytes), and the complexity of its associated formats (i.e. it is not easy to 'look
20 into' a media file and understand its contents). For this reason, some of the processes that
support multimedia content management must be handled differently.
The three major processes that are required to support media content management
are:
• Storage management
25 • Metadata management
• Version control
Storage Management
Storage management concerns the methods of storing and retrieving media content.
The cost of data storage may be decreasing, but it is still the case that for large volumes of
30 media it is often uneconomical to store everything on-line. For this reason, processes must
be implemented to manage where data should be stored, and how it may be transitioned
from one location to another. There are three ways to store data:
• On-line (Instant access, for example, hard disk)
• Near-line (delayed access, for example, CD-ROM jukebox)
35 • Off-line (manual access, for example, CDs or tapes on shelves)
When deciding on where media content should be stored, there is always a trade-
off between accessibility and cost (on-line storage being the most accessible and most
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expensive, and off— line the cheapest but least accessible). The decision of which method to
use for which data may depend on a combination of its type, volume, version (i.e. latest or
historic) and accessibility requirements.
Metadata Management
5 Data about the media that is being stored is an important commodity that must be
managed. As the volume of media content grows, it is vital to be able to understand
characteristics of the media, in order to be able to manage it correctly. Examples of
metadata include:
• Media type (for example, MPEG video, JPEG image)
10 • Media settings (for example, sample rate, resolution, compression
attributes)
• Usage details (which module uses the content)
• Media source (for example. Source, author, creation date)
• Legal information (for example, whether the media is copyrighted)
15 Version Control
As with standard development code, when media content is created and edited, a
revision history of changes should be retained. This way, if it is necessary to revert to an
original piece of media content, it is not necessary to go all the way back to the original
source (which in the case of finding an image in a CD-ROM library containing 10,000
20 images, for example, could be a difficult task). In practice, this may mean storing the
original and final copies of media (especially where volume is an issue). For this reason, a
process for managing multiple versions of media content must be put into place.
The more advanced media content management tools may provide much of the
functionality required to support these processes, but where this is not the case, the
25 processes must be implemented manually.
c) Legal Issue Management
When dealing with media, it is often the case that content may be subject to
copyright laws. It is important that the legal implications surrounding all content in the
system is understood, and where necessary, royalties paid to the appropriate parties.
30 Object Management (108)
Object Management processes are very similar to those involved with Repository
Management. However, they should promote reuse through specific processes:
• Design review
• Classes and components packaging for reuse
35 • Common components maintenance and upgrade
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Quality Management (204)
Quality Management is described at length in the Business Integration
Methodology (BIM).
The Quality Management processes are covered by the following tasks:
5 • 0623 - Define Quality Management Approach
• 0732 - Implement Quality Management Approach
The objective of these tasks is to ensure that, early in the life of a program, program
leadership explicitly defines what quality means for the program. This results in the
production of the quality plan. Then the infrastructure and processes are put in place to
10 ensure delivery of a quality program.
The Quality Management Approach defines the following processes:
• Expectation Management
• Qual ity Verification
• Process Management
15 • Metrics
• Continuous Improvement
• Rewards and Recognition
• Training and Orientation
Focus here is on those processes that have a direct impact on IDEA and its
20 components (that is. Systems Building and the management processes).
Expectation Management Process
Expectations can be thought of as quality objectives expressed in measurable terms
such as:
• Functionality
25 • Reliability
• Usability
• Efficiency
• Maintainability
• Portability
30 • Security
Quality Verification Process
The targets for quality verification should be defined. Processes and deliverables
are key candidates.
In development terms, the V-model is the preferred method by which the quality
35 verification process is managed. The V-model ensures that deliverables are verified,
validated, and tested. It is based on the concept of stage containment (enforcing for a given
deliverable the identification of the problems before it goes to the next stage) and entry and
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exit criteria (describes conditions in which a deliverable passes from one stage to another).
The quality verification process owner may not be responsible for executing the V-
model, but is responsible for making sure that the V-model is in place and complied with.
Metrics Process
5 To fine-tune the development process, the important quality attributes must be
measured. Sample metrics include:
• Development environment availability
• Time needed for a new user to learn to use a function of the development
environment
10 • User error rate per function
• User satisfaction per function
• Code complexity
• Code structure
• Productivity
15 • Average number of defects per design packet at the moment construction
starts
• Average number of defects per program at the time of its first migration to
system test
Once the key metrics are agreed upon, procedures must be put in place to:
20 • Perform the measurements (these should flow from the development
processes in a natural way)
• Compare results with the goals documented in the quality plan
• Analyze deviations, with key focus on the process that caused the deviation
• Adjust the processes so that similar deviations do not occur in the future
25 Continuous Improvement Process (112)
The first stage of the Continuous Improvement Process (CIP) is to capture
continuous improvement opportunities. These may include:
• Gaps identified by metrics
• Analysis of program performance-internal quality verification results
30 • Process reviews
• Capability Maturity Model (CMM) assessments
• Suggestions made by program team members; for example, through a
suggestion box
The CIP then plans and manages improvement related activities such as:
35 • Define explicit criteria for assigning priority
• Consider raising the priority of low-priority opportunities that can be
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completed quickly
• Maintain a mix of high— priority and sure successes to ensure the continued
momentum
of the Continuous Improvement program
Define the opportunity selection process
Identify the resource allocation process
Define the scheduling process
Identify how the effort will be monitored
Identify the procedure for communicating results to the organization
10 • Establish a continuous improvement organization to support the process
Prioritize and classify opportunities
Select projects
Allocate resources and scheduling
Monitor effort
15 • Support a standard process improvement process across the project
While maintaining quality at a program level, the Quality Management team must
liaise with each of the organizational units within the development environment in order to
monitor the quality management processes within these units.
Standards and Procedures
20 The Capability Maturity Model (CMM) for Software describes the software
engineering and management practices that characterize organizations as they mature their
processes for developing and maintaining software.
The CMM provides a software organization with guidance on how to gain control
over their processes for developing and maintaining software and how to evolve toward a
25 culture of software engineering and management excellence. The model defines five levels
of software process maturity as well as how to move from one level to the level above.
For more details, refer to Consistently Delivering Value: The CMM - How to Help
Your Project Measure Up
The V-model is a framework that promotes stage containment by organizing the
30 verification, validation, and testing in and across all the methodology elements throughout
the delivery phase of the Business Integration Methodology.
For more details, please refer to the V-model overview job-aid in the Business
Integration Methodology.
The IMPROVE Job Aid (provided with the BIM Guide) describes the process for
35 solving problems or improving a process. In this Job Aid, you will find an introduction to
the five step process your team can use to solve both simple and complex problems. The
Quality Action Team (QAT) is responsible for applying IMPROVE to improve a process or
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solve a problem.
Program and Project Management (214)
Program Management
Program Management focuses on the continuous oversight needed to support the
5 delivery of business capability through multiple projects and releases. Appropriate
disciplines, techniques, and tools are used to plan and organize the work, and to manage the
incremental delivery of the new business capability.
Program Management consists of three major activities, each split into a number of
task packages.
1 0 a) Plan Program
•
0610
- Understand Program Expectations
•
0620
— Plan Management Processes
•
0640
— Develop Program Master Plan
•
0650
- Design Initial Teamwork Environment*
•
0670
- Plan Delivery
•
0680
- Create Program Plan
b) Mobilize Program
•
0710
- Obtain and Deploy Resources
•
0730
- Implement Management Processes
•
0750
- Establish Program Management Office
•
0770
- Implement Initial Teamwork Environment*
•
0790
- Establish Orientation and Training
c) Manage and Improve Program
•
0810-
- Direct Program
•
0820-
- Execute Management Processes
•
0830-
- Analyze Program Performance
•
0840-
- Plan and Implement Program Improvements
•
0850-
- Operate Program Management Office
•
0860-
- Authorize Build and Test
•
0870-
- Authorize Deployment
•
0880-
- Operate Team Work Environment*
•
0890-
- Conduct Program Close-Out
♦The Team Work environment, in the domain of the development environment,
includes those parts of the development environment which are consistent across the entire
35 program (e.g. Collaborative tools)
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Project Management
Project Management focuses on providing specific deliverables through balanced
management of scope, quality, effort, risk, and schedule. Project Management processes
follow a cycle of planning the project's execution, organizing its resources, and controlling
5 its work. The Project Management team oversees all other teams within the development
environment.
Project Management comprises a single activity containing a number of task
packages.
a) Plan and Manage Project
10 • 0920 - Plan Project Execution
• 0940 - Organize Project Resources
• 0960 - Control Project Work
• 0990 - Complete Project
Configuration Management (210)
15 Configuration Management is not only the management of the components in a
given environment to ensure that they collectively satisfy given requirements, but it is the
management of the environment itself. The environment consists not only of system
components, but also of the maintenance of these components and the hardware, software,
processes, procedures, standards, and policies that govern the environment.
20 Configuration Management in systems building consists of four major
interdependencies:
• Packaging
• Version control 114
• Migration control 116
25 • Change control 118
Standards and Procedures
a) Packaging Plan
Packaging is the combination of systems software and application component
30 configurations (source code, executable modules, DDL and scripts, HTML) together with
their respective documentation. It may also include the test-data, test scripts, and other
components that must be aligned with a given version of the configuration. Packaging
allows the grouping of components into deliverable packets of application software that can
be developed, tested, and eventually delivered to the production environment. Packaging
35 defines the underlying architecture that drives version, change, and migration control. Each
of these control processes defines how changes to configuration packages are versioned and
migrated to the various development and test phases in the systems development life cycle.
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A sample packaging strategy would take into consideration some of the following
factors in determining a unique method to handle a given configuration packet in terms of
version, change, and migration control:
• Base package type - identifies the various types of application
5 components that are developed during systems building such as executables, JCL,
HTML scripts, and Java applets.
• Package release type - identifies the types of commonality that
components can have. There are usually four basic types of components that are
developed during systems building:
10 • Technology architecture packages - these packages are developed by the
Technology Architecture team and are used by all other projects in a program
• Program-wide packages - these packages are developed by the
Application Development teams but are used by other projects in the program. They
are common components that are not owned by the Technology Architecture team
15 • Application common packages - these packages are developed by the
Application Development team and are used internally on the project by application
developers
• Application packages - these packages are the most rudimentary of all
packages developed. They consist of basic application components developed by
20 application developer
• Package platform type - identifies the eventual delivery platform of the
package. Identifying this early on in development and encapsulating this information
within the package definition, allows developers to envisage the production
environment at an early stage during the systems development life cycle.
25 Given these three basic package definitions, a configuration management cube can
be defined, which uniquely identifies version, change, and migration control characteristics
of a given package. The cube can be used to implement a table-driven configuration
management control system for all software developed on the program. The configuration
control system consists of version and migration control. Therefore, the cube defines all
30 processes associated with version control and migration of a package.
b) Version Control (114)
Version control and compatibility are key considerations when managing these
packages. Note that version control not only applies to software components, but also to all
components of a given package, including test scripts, test data, and design documentation.
35 It is also of great importance to keep track of which version is in which environment. If
incompatibilities are discovered, it must always be possible to "roll back" to a previous
consistent state, that is, to revert to an earlier version of one or more components. It must
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be possible to define releases of a configuration - a list of version numbers, one for each
component of the package which together form a consistent configuration. The smallest unit
that can be version controlled should be the package as defined in the packaging plan. This
ensures that the lowest common denominator in all version control activities is managed at
5 the package level.
c) Migration Control (116)
A systems building environment can have many development and test stages. On a
large project these may include:
• Development and unit test
10 • Assembly test
• System test
• Integration test
• User acceptance test
Migration of packages or consistent configurations from one stage to another is a
15 central part of Configuration Management. The key to successful migration is the
knowledge of what constitutes each stage. Examples of migration include:
• Migration from development and unit test to system test
• Migration from user acceptance test to production
• Migration of development tools from the Technology Architecture team to
20 the developers on the project
• Migration of architecture components from the Technology Architecture
team to the developers on the project
Stages and their constituents exist as a result of certain user and technical
requirements. The technical requirements are derived from the user requirements. It is
25 crucial to develop a migration plan that maps out the progression on configuration packages
throughout the systems development life cycle. Figure 6 is an illustration showing a model
migration plan in accordance with one embodiment of the present invention.
The Figure 6 model allows the development and testing of architecture components
independent of application components. The Technology Architecture team can develop
30 600, assembly test 602, and system test 604 their components before delivering them to the
development environment for the application developers. This ensures that the architecture
is thoroughly tested before being used by the Application teams. The model also illustrates
the progression of architecture and application components through the systems
development life cycle. The application developers can then develop 606, assembly test
35 608, and system test 610 their components before user acceptance tests 612. The model is a
temporal one and thus suggests that architecture must be present at a given stage before the
introduction of application components.
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The version control plan must align with the migration control plan. The version
control plan defines the points where version control activities will take place. In the above
example, version control will take place at the development stages, architecture
development and unit test, and application development and unit test.
5 Migration control defines how these version control configuration packages will be
migrated successfully fi*om one stage to the next until the package is eventually released to
the production environment.
d) Change control (118;
Change requests as a consequence of changing requirements and changes requested
10 due to nonconformities (or defects), either in the application software, or in the system
software must be analyzed, authorized, scheduled, staffed, and tracked in a defined way.
What, why, when, and who made a change must be tracked from the point of analysis to the
reintroduction of the defective or changed component at the appropriate stage. Change
control therefore governs what software component is changed, version controlled, and
15 when it is remigrated to a given development stage.
It is important to link the general change request with the requests produced during
formal testing phases. This makes the processes clearer.
Configuration Management becomes more complex in a component-based
development environment as the system is broken down to a greater level of granularity.
20 Release Management (208)
Release Management involves coordinating activities that contribute to a release
(for example, cross-project management) and the coordination of products that contribute
to a release (such as architecture, integration, and packaging). It is concerned with
managing a single release rather than cross-release management.
25 The Release Management approach documents critical decisions regarding the
management, tracking, and integrity of all components and configurations within a given
release. The Release Management approach must be closely coordinated with the
definition of the Configuration Management approach and the Problem Management
approach. Release Management involves two main components:
30 • The coordination of activities that contribute to a release
• The coordination of products that contribute to a release
The coordination of products that contribute to a release is the maintenance of a bill
of materials for a release. It is an inventory of all software and hardware components that
are related to a given release. The development environment is directly affected by the
35 Release Management strategy. The way a program decides to plan releases affects the
complexity of the development environment.
It should be noted that delivering a system in a series of releases significantly
increases the effort.
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Standards and Procedures
If the release plan dictates that there will be parallel development of two releases of
software, the development environment and configuration management must be able to
support the release plan. In the most general development case, a program can have a
5 single release capability mechanism 700 but must simultaneously perform maintenance
activities 702 for components that are in production 704. There must be an ability for the
program to design, build, and test the applications for production. Figure 7 is an illustration
showing a single release capability development pipeline in accordance with one
embodiment of the present invention.
10 The ability to perform all development stages for a given release can be defined as
a development pipeline. The pipeline consists of all development and testing stages
necessary to release the software to production.
The pipeline strategy of a program depends directly on the release strategy. A
program is potentially developed on three different timelines:
15 • Short term 800 - production bug fixes
• Middle term 802 - production service packs
• Long term 804 - new releases of software
To support this release plan, the development environment must be separated into
pipelines that are replicas of a single migration path to production 704. A pipeline consists
20 of all the necessary development and testing stages required to deliver a piece of software
to production. Therefore, because of simultaneous development and testing of three code
bases, there needs to be three development and testing pipelines that deliver software to
production.
The pipelines must be capable of allowing the developer to design, build, and test
25 applications as well as architecture components. Figure 8 is an illustration showing a
multiple release capability development pipeline in accordance with one embodiment of the
present invention.
As can be derived from the above illustrations, the more flexible a release plan, the
more complex the development environment. As the number of development pipelines
30 increase, the complexity of working in the development environment also increases. All
development environment tools must support the pipelining strategy and so must the
configuration management and problem management processes.
The pipeline strategy for a program must incorporate code base synchronization.
Code base synchronization must occur among the three pipelines to ensure that the three
35 code bases eventually result in one version in production. Figure 9 is an illustration
showing a multiple release capability development pipeline with code base synchronization
among three pipelines.
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Environment Management (206)
Since the development environment is a production environment, it follows that
environment management must be planned, organized, and executed to ensure a predictable
5 and productive environment. Andersen Consulting has a comprehensive framework for the
Management Of Distributed Environments (MODE). It describes four central functions:
• Managing Change 120
• Service Management 122
• Service Planning 124
10 • Systems Management 126
MODE provides an excellent framework for specifying the management
responsibilities that apply to the development environment. These responsibilities are often
assigned to the technical group, but as discussed above, there are benefits associated with
establishing a dedicated environment management team.
15 The Environment Management component described here uses MODE as a
framework, adopts MODE terminology, and focuses on those management tasks, which are
particularly important in the development environment.
Adopting a structured approach to environment management, which applies the
same principles to development as it does to production, has several advantages:
20 • High-quality support for developers
• Significant experience with the operations management tools in an
environment, which is generally smaller and which carries lower risk than the full
production environment
• The ability to tune the environment management approach before
25 production roll-out
In some respects, the development environment is simpler than the production
environment. It is, for example, generally smaller in terms of the number of hardware
components and the number of locations. In other respects, however, the development
environment is more complex. For example, the amount of change in this environment is
30 generally higher than in the production environment. In fact, the environment can be so
fluid that extreme care must be taken to maintain control. On a large engagement, one
dedicated technical support person per ten designers and programmers is recommended.
The greatest need for technical support is generally during detailed design and
programming. It is, however, necessary to start building the technical support function
35 before detailed design.
All processes that are performed by the Environment management team must be
documented in a centralized database that allows quick and easy reference.
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Service Management (122)
Service Management provides the interface between the Environment Management
team, the Development teams, and external vendors or service providers. It manages the
level of service that is provided to the developers. In order to maintain this service, three
5 areas must be managed:
• Management of Service Level Agreements (SLAs)
• Management of Operations Level Agreements (OLAs)
• Help Desk
Service Level Agreements
10 In order to plan and organize the development work appropriately, a Service Level
Agreement (SLA) must be in place between the Service Management group (typically part
of the Environment Management team) and the developers. As with all other components
of the development environment, this agreement should be kept simple. It should specify
the following:
15 • The responsibility of the Environment Management team
• How developers should request technical support
• How quickly a request for support will be serviced
• How the Environment Management team will notify developers of
environment changes such as changes to databases and common technical modules
20 Specifications of service levels should be precise and the service must be
measurable. The SLA should also specify how to measure this service (for example, system
response times, request service times, backup frequencies). In addition, the SLA must be
managed. It may have to be modified as the environment changes, and it must be reviewed
with developers on a regular basis to see if the service level is adequate.
25 a) Operations Level Agreement Management
The Environment Management team is responsible for providing the specified level
of service, but frequently relies on external vendors and suppliers to perform certain tasks.
For example, hardware service is typically provided by the hardware vendor. To provide
the agreed level of service to the developers, the Environment Management team must
30 ensure that external vendors provide their services as required. This generally means
establishing a contract with the vendor and following up that the contract is respected.
As the relationship between the Environment Management team and external
vendors becomes less formalized (for example, Internet Service Providers, mass market
software vendors), it becomes more difficult to provide guarantees on the level of service
35 that will be delivered.
b) Help Desk
The Help Desk function is an important part of the interface between the Service
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Management group and the developers. The Help Desk makes sure that questions are
answered and requests serviced in a timely manner by the right people. In a complex,
leading-edge environment, the Help Desk is crucial to maintaining productivity. The Help
Desk needs particular focus when:
5 • The system software is immature
• The development environment is weakly integrated
• The environment is heterogeneous
• The amount of newly released custom infrastructure is large
• The developers are less experienced
10 While supervisors and coordinators who work with the developers may alleviate the
impact of these factors, the more difficult questions must be resolved by the Environment
Management group. As some of these will be repeat questions, the ability to log the
question, the analysis, and the result in a structured way provides the basis for performing
smart searches and answering the question quickly. Repeat questions may also trigger;
15 • Additional training
• Modifications of existing training
• Additional entries in a "technical hints" database
• Changes in tools, procedures, and responsibilities
Efficient searches in the Help Desk database can, in some cases, be greatly
20 facilitated by extending the basic functionality of the Help Desk tool. This can be achieved,
for example, by adding a smart word search capability on top of the Help Desk history
database.
Comprehensive training must be given to Help Desk personnel in order to ensure
the best possible level of service to the developers.
25 In addition to serving internal project needs, the Help Desk must be prepared to
coordinate the activities of external suppliers to solve problems. This occurs when several
new versions of hardware and system software are introduced, and compatibility issues
arise. Part of the coordination is the tracking of request IDs, which refer to the same
question but which are assigned differently by each supplier.
30 To manage communication with external vendors, a contacts database with the
following information is useful:
• Company name
• Products supplied
• Details on support arrangements
35 • Address, phone and fax numbers
• Main contact
• Secondary contacts
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• Regional office address/fax/phone/contacts
• World headquarters address/fax/phone/contacts
Based on this information, it is useful to log the exchanges with the external
company, indicating:
5 • Date
• Individuals involved
• Key information exchanged
c) Quality Management
Defining the SLA, with its specific, measurable criteria, is the basis for continuous
10 improvement. The continuous improvement effort may focus on providing the same level
of service with fewer resources, or on providing better service. An important part of quality
management is ensuring that the Environment Management team understands the key
performance indicators for service delivery, that these indicators are monitored, and that all
personnel are adequately equipped with the tools and training to fill their responsibilities.
15 While the entire team is responsible for delivering quality, the responsibility for Quality
management should be assigned to a specific individual on the Environment Management
team.
Systems Management (126)
MODE divides Systems Management into:
20 • Production control
• Monitoring
• Failure control
• Security management
• Staffing considerations
25 Production Control
In the development environment, a number of activities must be performed
according to schedule, including:
• Reorganization of databases, including the repository
• Rerunning of database statistics
30 • Performing backups
• Transportation of backups off-site
• Performing periodical file transfers between environments/sites
• Preventive maintenance of equipment
Many of these activities can be scheduled and performed automatically, but must
35 have some level of manual control to ensure that they are executed correctly. Control tasks
may include checking and archiving activity logs. Standards and procedures that describe
the control function must be established.
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Monitoring
The Environment Management team must systematically monitor the development
environment to ensure that it is stable, provides adequate response times, and satisfies the
needs of the developers. This monitoring involves looking at trends and extrapolating them
5 to anticipate problems with disk capacity, system performance, network traffic, and so
forth.
Failure Control
Failures must often be corrected quickly to restore service. The time needed to
restore service is affected by the time it takes to isolate and repair the fault. In many cases,
10 elapsed time can be shortened by allowing remote administration of system components.
Security Management
Security management involves:
• Defining security requirements
• Preventing security breaches
15 • Limiting the effect of security breaches
• Detecting security breaches
• Correcting the effect of security breaches
Although direct sabotage is rare, inexperienced developers, perhaps new to the
project, can wreak havoc to the system under development by inadvertently deleting or
20 modifying system components. Focus must be on defining access rights so that developers
have the right level of access (read/write) to all the information that is useftil and relevant to
their work.
With the opportunity to connect development environments to the internet comes
new risks. There is a potential for security breaches or the transfer of viruses and other
25 malicious programs. In extreme situations, where security is of great importance, it may be
prudent to isolate the development environment, and allow Internet access only via a dial-
up connection on stand-alone machines. The overlap of responsibility for Security
Management between the Environment Management team and the Securitv Management
team will need to be defined at the program level.
30 Outsourcing Considerations
In the development environment, it may be possible to outsource certain Systems
Management tasks. For example, the LAN supplier may be willing to take responsibility for
LAN support, upgrades, and so on. Similarly, an existing data processing center may be
willing to take responsibility for host operations. Such agreements are very beneficial and
35 make it possible to use project team members more effectively. However, outsourcing the
development environment carries a risk, which can be mitigated by defining a Service Level
Agreement with the provider. This will generally be very similar to the SLA established
between the Environment Management team and the developers. One important difference
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20
25
is that punitive measures (to be applied if the SLA is not respected) must be specified to
ensure that outside suppliers are strongly motivated to abide by the agreement.
Service Planning (124)
MODE divides Service Planning into:
• Service Management Planning
• Systems Management Planning
• Managing Change Planning
• Strategic Planning
All these planning stages apply in the development environment and are analogous
to the kind of planning that must occur in the business application's production
environment. One of the most important success factors when providing technical support
is being proactive and anticipating the need for intervention.
Service Management Planning
Once the SLA is defined, the resources required for delivering the service can be
specified. Questions to address include the staffing of these resources and training to
ensure that they are equipped to deliver service as agreed.
Systems Management Planning
Daily tasks must be specified, assigned, and followed up. Systems management
planning determines who is responsible and how follow-up is performed.
Managing Change Planning
Managing change planning is of great importance in the development environment.
During a large project, several very significant changes to the development environment
must be accommodated. They include:
• New hardware
• Rewiring of the network
• New development software
• New releases of existing development software
• New releases of infrastructure components (custom-built technology
architecture)
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The release of these components into the environment requires very careful
planning to ensure minimal disruption for developers. Techniques commonly used include:
• Fallback options if a new component does not function as planned
• Partial rollout to a subteam to limit the consequences if a component does
5 not work as planned
• Ample information to developers about timeframes for rollout and expected
effects of new components
• Well planned testing
• Sufficient training for new tools or changes to existing tools
10 Planning for change includes choosing options based on a thorough understanding
of the positive and negative impacts of change to the environment. Changes to the
development environments should be analyzed and planned for as orderly releases rather
than a stream of small modifications. Changes should be packaged into releases, and each
new release of the development environment should be tested by developing a small, but
15 representative part of the system using the new environment. Ideally, this test should be
performed by real developers rather than by the Environment Management team. This may
be very helpful in order to obtain better buy-in.
Strategic Planning
Strategic planning is traditionally regarded as being less important in a
20 development environment than in the production environment, mainly because the
development environment is often viewed as a temporary entity that does not warrant
serious strategic considerations. This may be changing however, with the concept of the
enterprise-wide development environment - a single, generic development environment
architecture that is tailored to each specific project. In this case, strategic planning for the
25 development environment is vitally important if the environment is to evolve, and allow the
organization to remain competitive. Strategic planning of the environment management
function may, for example, include such questions as support formultisite development and
coordination of multisourced systems management.
Managing Change (120)
30 The development environment is subject to constant change (for example, the
addition of new tools, or changes to code libraries), which needs to be managed carefully.
The Managing Change component comprises three sub-components: Controlling Change,
Testing Change, and Implementing Change.
Controlling Change
35 After planning for and scheduling change, it must be controlled. This ties in
closely with Configuration Management,
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Testing Change
Thorough testing is required to reduce the risk of productivity loss due to
environment changes. Techniques commonly used include:
• Careful scheduling of events to minimize disruptions (typically weekends
5 and evenings are used to enable a strictly controlled test of new components released to
the design and construction environment).
• Rigorous testing of Environment Management tools themselves. This test
must be as rigorous as the testing of the execution environment.
• A hardware and systems software acceptance test environment where
10 components from external suppliers are validated before the component is accepted into
the environment.
• One or more separate architecture build and test environments where new
or modified custom— built components can be thoroughly verified before they are made
available.
15 In addition to reducing risk, testing should also verify that the expected positive
benefits of the change are indeed obtained.
Implementing Change
After planning and testing the change to be introduced, it must be implemented.
The most common kinds of change in the development environment are the introduction of
20 additional hardware, new releases of databases, subroutines and infrastructure, and
upgrades to tools. Each change implementation should be viewed as continuous
improvement so that any difficulties or inefficiencies are analyzed and resulting
improvements are planned and implemented. To be effective over time, this requires that
procedures be documented and regularly reviewed and enhanced.
25 When the database is changed, new versions of test-data must be developed and
distributed. When infrastructure components are modified, they may have to be distributed
across platforms, and the ripple-effects (for example, the need for recompilation or code
changes in affected components) must be understood and coordinated. Some projects have
experimented with incentives to ensure that the infrastructure components do not change
30 too frequently. One such strong incentive is to make the Architecture team responsible for
all ripple effects and have them implement all the application level changes that result from
an architecture modification.
Problem Management (212)
Problem Management is generally associated with the discrepancies that result from
35 the testing process, though it may also be applied to the management of design problems
detected during verification or validation steps. Problem Management is a crucial process
in the system development life cycle. It ensures that quality software is designed,
developed, and tested so that initial benefits defined in the business case are in fact realized.
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A development environment must have a formally defined problem management process to
ensure that this objective is met.
Formal problem tracking helps to control the analysis and design process by
maintaining documentation of all problems and their solutions. Problem tracking improves
5 communication between developers and business representatives, which is particularly
helpful in minimizing misunderstandings at later stages of the development cycle.
Such formal problem tracking also helps to facilitate the solution process by
formalizing a procedure for reviewing, acting on, and solving problems in a timely manner.
By circulating problem documentation to all affected parties, management can minimize the
10 risk of misunderstandings at a later date. In addition, the documentation serves as an audit
trail to justify design and implementation decisions.
It is, however, important to note that not only the software that is developed for
business case benefits realization must have a formal problem tracking mechanism, but the
development environment architecture must also have a formal problem tracking
15 mechanism. The development environment tools and processes support the design,
development, testing, and delivery of quality software. Therefore, the foundations of
design, build, and test must be stable and problem free. All problems identified in the
development environment architecture must be tracked formally and solved as the
development environment is also a production environment for developers.
20 System Building (218)
Understanding the systems building process is important since well defined
development tasks and workflows form the basis for achieving high productivity and
consistent process quality. Tools to support these processes may be found in Tools -
System Building .
25 The development environment varies by segment of a systems development project.
The following model is used when discussing different components of the development
environment.
The development process is iterative and can be entered at different stages
depending on the complexity of the changes. Small corrections may not require explicit
30 design, and small enhancements may not require any high-level design. The shaded,
elliptical labels in the above figure indicate how the development process can be entered
depending on the magnitude of the change.
The iterative nature of the development process is important since it implies that
components of the development environment, which are put in place for design (for
35 example), must be maintained, since they will continue to be used until the end of system
test and beyond. Multiple releases of the business application may also be under concurrent
development at different stages. This may lead to very active use of design, construction,
and testing tools at the same time.
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Analysis & Design (128)
Analysis and design in this context, refer to the two Business Integration
Methodology activities:
• Design Application
5 • Design Technology Infrastructure
The most critical and perhaps the most difficult work occurs up front. The success
of the entire design effort depends on the quality of the work performed to gather,
document, communicate, and analyze requirements in the early stages. Standards for how
to document these requirements are very important. They facilitate communication, which,
10 in turn, ensures a common view of the problem to be solved. Communication must be
ensured within the analysis team but also with the (possibly future) designers and
programmers.
Tool support may help enforce standards, and such tools are discussed under Tools
- System Building - Analysis & Design
15 The design process includes numerous activities, which range from high-level
general considerations to low— level detailed issues. The overall objective of design is to
transform functional and technical specifications into a blueprint of the system, one that
will effectively guide construction and testing. While requirements analysis and
specification deals with what the system must do, design addresses how the system will be
20 constructed. Validating that the design actually meets the requirements for functionality,
performance, reliability, and usability is essential.
The quality of the design process directly affects the magnitude of the efforts
required to construct and test the system, as well as the maintenance effort. Investments in
defining high-quality design standards and procedures and integrating tools is therefore
25 particularly important. It may, for example, have a direct impact on the degree of reuse
achieved. In addition, adequate training must be provided to ensure that the designers make
optimal use of the environment provided.
Information on how to approach system design can be found in the following
Andersen Consulting sources:
30 • Delivery Vehicle Frameworks
• Network-Centric Architecture Framework
• The Graphical User Interface Design Guidelines
• Design Application Architecture
New tools and processes link detailed design and construction more closely than
35 before. To realize the expected benefits from repositories and code generation, the output
from detailed design must be exact and correct, leaving little room for interpretation. This
requires careful quality control and very specific exit criteria associated with the
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completion of detailed design.
It is important that the development environment accommodates concurrent effort
in different areas. For example, parts of design may occur after system test starts, as in the
case of an urgent change request, or when a significant inconsistency is detected in system
5 test. Some reverse engineering work may also occur before design or during construction.
When standards, procedures, and tools are developed for a task, it is important to
consider where the task belongs in the sequence of tasks that contribute to the development.
For example, the use of a repository early in the development process reduces the need for
re— entering information while enhancing consistency and facilitating standards compliance.
1 0 Usability and User Interface Design
Usability is an important (and often overlooked) consideration in system design.
Usability is more than a well-designed user interface - the way in which business
processes are modeled, how they are implemented within the system, and how they are
presented to the user all contribute to the overall usability of the system. Usability is an
15 iterative process of refinement that results in systems that are easy to learn, efficient, and
enjoyable. In the very broadest sense, usability is the thoughtful, deliberate design approach
that considers users throughout the solutions-building process, from start to finish. For this
reason, usability guidelines should be defined and followed at every stage of system design.
This, along with regular usability reviews and tests both internally, and by target user
20 groups (by using prototypes), helps to reduce the risk of a poorly received system.
The User Interface has become increasingly important as systems become more and
more user-facing. As multimedia technologies evolve allowing the development of richer
user interfaces, so the design processes must adapt to reflect these new technologies. The
processes that surround the design of media content are similar to that of regular system
25 design, and many of the same issues that apply to designing traditional user interfaces also
apply to the design of media content. The major change is the involvement of media content
designers - a group of people not traditionally associated with system design and
development. As their presence is relatively new to the scene of systems development, it is
often the case that media content designers are not fully integrated into the development
30 team - a potentially costly mistake. It is important to ensure that media content designers
are involved in the design process at a very early stage, and that they are fiiUy integrated
into the application design and construction teams.
The approach to Interface design is evolving as media technologies become more
advanced. Modem media creation tools allow the development of not only media-rich
35 interfaces, but also the fixnctionality that lies behind them. This means that the role of the
media content designer may now range fi-om that of designing the look and feel of a user
interface, to developing the entire presentation layer of an application. In this situation, the
role division between media designer and application developer becomes a difficult one to
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define, reinforcing the argument for fiilly integrating media designers into the application
development team.
Standards and Procedures
Well documented, comprehensive standards make designers more independent and
5 enable them to produce more consistent, high quality designs. Common standards include:
• Detailed specifications of deliverables from each design step
• Window and report design standards
• Naming standards for design objects and documents
• Navigation standards
10 • Standards that specify the design techniques to use
• Documentation standards that specify format
• Technology infrastructure design standards that specify how to ensure
security, handle errors, and manipulate context data
While the standards focus on what to do during design, procedures focus on how to
15 do it. Procedures must be in place to specify:
• How to resolve functional and technical issues
• Which tools to use and how to use them
• How to perform design validation
• When and how to initiate and perform functional and technical design
20 reviews
• How to cope with design teams distributed across locations*
Guidelines give assistance in areas where judgment is important and where
standards are not easy to define. Valuable guidelines may include:
• Usability guidelines
25 • Style guidelines
• Guidelines on how to use a tool effectively
• Sample design packet for each kind of system component to be designed
Designers must understand standards and procedures other than the ones listed
above. For example, repository related standards are very important to designers. These
30 standards are discussed in Processes - Information Management
Implementation Considerations
a) Multi-site Development
In the case of systems being developed by multiple parties or across multiple
locations, it is vital that a process of regular communication is implemented. This
35 communication should involve all the parties involved in the design of the system, and is
usually conducted in the form of an audio conference. Through this process, it must be
ensured that all parties are approaching problems from the same direction, and that they are
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thinking about the design in the same way. If this is not achieved, there is great potential
for misunderstanding across teams, which generally leads to a badly integrated system. In
this type of situation, where parties are not working together on a day to day basis, it is also
important that any definition (requirements or design) is completely free of ambiguity (if
5 anything is left open to interpretation, there is a high risk that it will be misinterpreted).
Practically, this means that quality controls on documentation need to be more stringent
than on a traditional single-site project.
Reverse Engineering (130)
Reverse Engineering is a set of techniques used to assist in reusing existing system
10 components. Most of the time, this work is performed manually: one person studies thick
listings to understand data layouts and processing rules. The person gradually builds a
higher— level understanding of how the components work and interact, effectively reverse
engineering the system into a conceptual model. It may be necessary to study certain pieces
of code to understand how they work, but reverse engineering is not limited to code. For
15 example, these techniques might help understand the data-model of a legacy application, in
order to better design the new applications that will coexist with it.
The process can be very time-^consuming and is notoriously difficult to estimate.
Tools to support the effort do exist, and have been used successfully to streamline the
process. The main problem with such tools, however, is the hasty (and erroneous)
20 conclusion that tools automate everything. They do not, just as design tools do not automate
the design process. Human intelligence is still required to drive the effort.
The supporting tools can, however, reduce the amount of manual effort needed and
significantly lessen the amount of non value-added activities, such as "find all the places in
a program that affect the value of a given variable".
25 The goal of a specific reverse engineering effort generally falls into one of the
following categories:
• To determine which parts of existing systems must be replaced and which
can be reused
• To determine how a particular component works in order to design other
30 components that interface with it
• To extract components for reuse
• To prepare for cleaning up those parts of a system that will be retained
In component-based development, a concept known as "round-trip reengineering"
provides the developer with a way of modifying a component model and generating the
35 code, then at a later date modifying the code at predefined locations in the source code and
regenerating, thus enabling the model to maintain a 2-way-synchronization.
Note that components to be reverse engineered can be both part of a custom-built
system, or part of a software package.
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Projects dealing with the Year 2000 issues have had much experience in
reengineering.
Standards and Procedures
The following reverse engineering guidelines should be used as input when
5 developing standards and procedures for a particular context.
• Reverse engineering can provide important input both to the design process
and to the construction process. Timing of the activities is therefore important.
• The interplay between design and reverse engineering can be intricate: a
high-level design is needed to determine which components from existing systems are
10 of interest. Once this is determined, these components can be extracted, generalized,
and fed into the detailed design process as one source of information.
• The value of reuse will vary with the functional and technical quality of the
code.
• It may be useful to clean up existing code before it is extracted for reuse.
15 • Tools should be chosen based on knowledge of the system, the amount of
code to be processed, and the experience of the personnel involved.
• The end should be kept in mind. With powerful tools, it may be tempting
to "investigate for fun" rather than extracting what is needed.
• As with all other tools, adequate training is important.
20 Packaged Component Integration (132^
Packaged Component Integration applies to the use of any third party (or previously
developed) technical components that may be integrated into the target system. This can
range from simple components offering limited functionality (worksheet or charting GUI
components), to components handling a significant portion of the application architecture
25 (data access components and firewalls). The process involves a number of stages:
• Package or Component Selection
• Component Customization
• Component Interfacing
Standards and Procedures
30 A proven practice in the component-based development world, when dealing with
purchased components, is to "wrap" them, i.e. encapsulate them so that the visible piece of
any component remains fully controlled. This way, when a component is replaced (either
for an update or because it has proved to be defective), no other system components that
refer to that component will need to be altered.
35 Construction (134)
Construction covers both generation of source code and other components as well
as programming and unit test. It may also involve help text creation and string test.
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As construction is a large part of system building, the benefits of streamlining this
process are significant. Since several aspects of construction are rather mechanical, it is
often fairly easy to simplify this process and to automate parts of it, particularly if the
design holds high quality.
5 The arrival of Integrated Development Environments (IDEs), has further simplified
the automation of construction processes to the degree that a single tool can manage the
majority of the process.
As with Analysis and Design, usability must not be ignored in the construction of a
system. Especially in the case of an iterative development approach, it is vital that those
10 responsible for usability and target user groups are involved in regular reviews as the
system is being developed.
Standards and Procedures
Important standards include:
• Programming standards for each programming language, including
15 procedural languages, job control languages, and data access languages
• Test documentation standards
Important procedures include:
• Code generation procedures, including pre-processing of the code shell and
post-processing of the generated code
20 • Testing procedures
• Test— data handling and common test— data usage
• Procedures for fiinctional and technical reviews
• Code review checklist
• Migration procedures which specify how to make common modules public
25 Important guidelines include:
• Usability guidelines
• Shell usage guidelines
• Tools usage guidelines
Test (136)
30 System test is performed to validate that the gathering and transformation of
information is complete and correct.
As automation progresses and an increasing number of business processes are
supported by computer systems, system test is changing in nature. Firstly, the testing of
interfaces to other systems is becoming an ever larger part of systems test. Secondly,
35 system test increasingly applies to a new release of an existing system. In addition, it is
worth noting that as design and construction is increasingly automated, system test is
becoming a larger part of the total development effort.
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Both of these factors increase the value of automated testing tools, given that the
work associated with checking that system changes do not have unintended side-effects, is
becoming an ever larger part of system test. Another trend affecting system test is the
demand for traceability. Increasingly, users and management wish to know the purpose of
5 a given test condition. This is answered by referring back to the design and to user
requirements.
System test is a very large part of any systems development effort and can,
especially when requirements are changing, exceed one third of the entire effort. A
streamlined environment, which enables high productivity is therefore of utmost
10 importance.
IMPORTANT: When planning system test, it is vital that the testing of a// target
platforms is included in the test plan. For each platform that is supported by the system,
there must be a separate set of tests.
The necessity of impact of volume and stress testing early in the development
15 process is becoming more common, due to the proliferation of new technologies and tools
which have little or no performance track record. It is important that the performance and
reliability of such tools and technologies is established as early as possible in the project to
avoid possible problems further down the line.
Component-based development may have an impact on the way in which testing
20 should be performed.
Standards and Procedures
System test relies heavily on configuration management, repository management,
and quality management.
• Configuration management provides the basis for promoting a
25 configuration from the construction environment to the system test environment. As
test cycles are run and fixes implemented, migration can become complex, requiring
flexible mechanisms for locking and unlocking system components and analyzing the
impacts of change.
• Information management, and in particular repository management,
30 guarantees a correct view of the interrelationships between system components. This is
required to ensure that impact analyses are complete and correct, which, in turn, makes
for effective regression testing.
• Quality management, together with well-defined standards and procedures,
ensures that the outputs from each test activity are documented at the right level of
35 detail and fed back to the design and construction teams, in accordance with the quality
plan.
Each of the following system test activities needs well— documented standards and
procedures and should be supported by tools:
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• Promote configuration (migrate configurations from the construction
environment to the system test environment)
• Run test cycle
• Compare expected results and actual results
5 • Log System Investigation Requests (SIRs)
• Analyze deviations and identify components requiring change (either
expected results, test-data, or system components)
• Define Change Requests (CRs) and perform impact analysis
• Package those change requests that affect the same areas and that naturally
10 belong together, into change packages
• Schedule and staff the changes
• Unlock components for change
• Perform changes and refine impact analysis based on added understanding
• Verify changes before re-submitting to system test
15 • Migrate to system test based on updated impact analysis and re-lock
components
Implementation Considerations
a) What model of testing does the firm follow?
The following is an overview of the firm's testing methodology as documented by
20 RTP. It describes the framework for the testing process, or the V-model of verification,
validation, and testing.
b) Are program specifications being tested?
The following is an overview of the component test as documented by RTP. It
describes the testing methods used to validate the detailed design stage where program
25 specifications are tested,
• Component Test - A component test is the testing of an individual piece of
the solution. All components, including application programs, conversion programs,
and input/output modules, are subject to component test. The objective is to ensure that
the component implements the program specifications. At the end of component test,
30 all lines of code should have been exercised, keeping in mind the specified functional
and quality requirements,
c) Are systems design being tested?
The following is an overview of the assembly test as documented by RTP. It
describes the testing methods used to validate the technical design stage where system
35 designs are tested.
• Assembly Test - The assembly test tests the interaction of related
components to ensure that the components, when integrated, function properly,
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Assembly test ensures that data is passed correctly between screens in a conversation or
batch process and that messages are passed correctly between a client and a server. The
specification tested is the technical design. The application flow diagram within the
technical design depicts the assemblies, either on-line conversations or batch
5 assemblies, that will be assembly tested. Testing is therefore organized by assembly
rather than by business function.
By the completion of assembly testing, the system should be technically sound, and
data flow throughout the system should be correct. Component and assembly testing
ensures that all transactions, database updates, and conversation flows function accurately.
10 Testing in later stages will concentrate on user requirements and business processes,
including work flow.
d) Are benefits being tested?
e) Are costs being tested?
f) Are intangibles being tested?
15 The following is an overview of the benefits realization test as documented by RTP.
It describes the testing methods used to validate the business case stage where benefits,
costs, and other intangibles are tested.
• Benefits Realization Test - The benefits realization test tests that the
business case for the system will be met. The emphasis here is on measuring the
20 benefits of the new system, for example: increased productivity, decreased lead times,
or lower error rates. If the business case is not testable, the benefits realization test
becomes more of a buyer signoff.
Ideally, benefits realization test occurs prior to complete deployment of the system
and utilizes the same environment that was used for the service-level test piece of
25 operational readiness test. Tools are put in place to collect data to prove the business case
(e.g., count customer calls). A team of people to monitor the reports from the tools and
prove that the business case is achieved is still needed. The size of the team depends upon
the number of users and the degree to which tools can collect and report the data. The
benefits realization test tests that the business case for the system will be met. The emphasis
30 here is on measuring the benefits of the new system, for example: increased productivity,
decreased lead times, or lower error rates. If the business case is not testable, the benefits
realization test becomes more of a buyer signoff.
g) Are quality requirements being tested?
h) Are technical requirements being tested?
35 i) Are fimctional/user requirements being tested?
The following is an overview of the product and operational readiness test as
documented by the RTP. It describes the testing methods used to validate the
requirement/definition stage where quality, technical and functional/user requirements are
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tested.
• The Product Test - The product test tests the entire application to ensure
that all functional and quality requirements have been met. Product testing may occur at
multiple levels. The first level tests assemblies within an application. The next level
5 tests applications w^ithin a system, and a final level tests systems within a solution.
Within the multiple levels, the purpose is the same.
The product test tests the actual functionality of the solution as it supports the user
requirements: the various cycles of transactions, the resolution of suspense items, the work
flow within organizational units and among these units. The specification against which the
10 product test is run includes all functional and quality requirements. The testing is organized
by business function.
• The Operational Readiness Test - The objective of the operational
readiness test is to ensure that the application can be correctly deployed. The
operational readiness test is also commonly known as the readiness test, roll— out test,
15 release test, or the conversion test. The operational readiness test becomes especially
key in client/server environments. It has four parts:
• Roll out test - ensures that the roll out procedures and programs can
install the application in the production environment.
• Operations test - ensures that all operational procedures are in place
20 and acceptable, and that the production system can be operated by the personnel
responsible for supporting production.
• Service level test — ensures that once the application is rolled out, it
provides the level of service to the users as specified in the Service Level
Agreement (SLA).
25 • Roll out verification - ensures that the application has been correctly
rolled out at each site. This test, developed by the work cell or team performing
operational readiness test, should be executed during each site installation by the
work cell or team in charge of the actual roll out of the application.
The operational readiness test assumes a completely stable application and
30 architecture in order for it to be successful, and therefore, is heavily reliant on the previous
testing stages.
The operational readiness test is the point in the development process where all the
application development, architecture development, and preparation tasks come together.
The operational readiness test ensures that the application and architecture can be installed
35 and operated in order to meet the SLA.
DEVELOPMENT TOOLS FRAMEWORK
Figure 10 is an illustration showing a Development Tools Framework in accordance
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with one embodiment of the present invention. The development environment is built upon
an integrated set of tools and components, each supporting a specific task or set of tasks in
the development process. As with processes and organization, the central component.
System Building, is supported by the eight management components:
5 • Information Management tools 202 manage the information that supports
the entire project - information that is used both in systems building and in other
management processes
• Security Management tools 216 enable the development of security
components
10 • Quality Management tools 204 support all quality management processes
• Program and Project Management tools 214 assist the management
teams in their daily work
• Environment Management tools 206 provide the facilities to maintain the
development environment
15 • Release Management tools 218 manages the simultaneous development of
multiple releases
• Configuration Management tools 210 cover the version control,
migration control and change control of system components such as code and its
associated documentation
20 • Problem Management tools 212 pertains to the problem tracking and
solution process
In addition, three other components are required to fully support development:
• Productivity tools 1002 provide the basic functionality required to create
documents, spreadsheets, and simple graphics or diagrams
25 • Collaborative tools 1004 enable groups of people to communicate and to
share information, helping them work together effectively, regardless of location
• Process Integration tools 1006 enforce the correct sequencing of tasks and
tools in conformance with a pre— defined methodology
An efficient development environment requires good tools. For general issues
30 regarding tool selection, please refer to the general Product Selection Considerations .
Productivity (1002)
While many tools are developed in order to support a specific task (for example,
source code editor), there is a family of tools that are generally required across the board,
often known as productivity tools or office automation tools. These tools, typically
35 packaged as integrated suites of software, provide the basic functionality required to create
documents, spreadsheets, and simple graphics or diagrams. More recently, the ability to
access the Internet and browse electronic documentation has been added to the suite of
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productivity tools.
Specifically, productivity tools include:
• Spreadsheet
• Word Processor
5 • Graphics Editor
• Personal Organizer (may be linked to Group Scheduling)
• Methodology Browser
• Internet Access
These tools are generally versatile enough to take the place of specialized tools
10 (such as planning tools) in certain circumstances.
Implementation Considerations
a) How secure does the development environment need to be?
In environments v^here security is a factor, the way in which team members gain
access to the Internet must be carefully considered. For example, on high security projects,
15 it is often the case that isolated machines with a single dial-up connection provide the only
way to access the Internet, thus ensuring that the development environment remains
completely isolated.
b) Are people using the Internet for its intended use?
Studies have shown that employees spend a lot of time using their Internet access
20 for purposes unrelated to work. Therefore, the benefits and damages of providing Internet
access must be assessed.
Collaboration (1004)
It is well understood that both good communication and knowledge sharing are vital
for the success of any team. As development projects get bigger and teams more distributed,
25 it becomes increasingly difficult to maintain communication between project team
members. Collaborative tools have been developed with this very purpose in mind — to
enable groups of people to communicate and to share information, helping them work
together effectively, regardless of location.
More information on collaboration may be found in the Collaboration Extensions
30 Framework in the database, and the Collaboration Architecture Framework in the
Technology Library.
Implementation Considerations
a) How distributed are the project teams?
On projects with development sites that are geographically distributed, it is usually
35 the case that communication by e-mail alone is not a sufficient substitute for meetings
when attempting to coordinate the teams involved. In order to keep all teams updated and
moving in the same direction, regular (for example, weekly) conference calls between all
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parties — chaired by project management - is much more efficient. It is important that these
conference calls are closely monitored, well prepared, and that the agenda is closely
followed. Action points and commitments made during these calls must also be
documented. Where issues arise that cannot be resolved using an audio conference (usually
5 because the subject is based on a visual concept), video conferencing may be necessary.
E-Mail (138)
E-mail provides the capability of sending and receiving messages electronically.
In addition to the ability to send simple ASCII text, e-mail systems usually provide the
capability to attach binary files to messages. E-mail is a convenient tool for distributing
10 information to a group of people, as it has the advantage of delivering content directly to the
'mailbox* of each individual, rather than relying on individuals to access a central data
repository in order to retrieve the information.
Implementation Considerations
a) Is e-mail likely to contain sensitive information?
15 When setting up an e-mail system, it is important to consider the content that will
be transferred using the system and to apply the appropriate security controls accordingly.
• Is communication outside the local environment necessary?
• Is remote access required?
If so, a gateway will be required to manage communication beyond the local
20 environment. This will bring with it security implications, as the local environment will no
longer be isolated.
h) Do e-mail capabilities already exist at the development site?
If adequate capabilities are already present at the development site, it may well be
prudent to take advantage of these capabilities.
25 Product Considerations
a) Is e-mail to be supported on multiple platforms?
The choice of which product to use may depend on the platforms upon which the
system must run.
b) How many people should the system support?
30 Low— end e-mail solutions may be perfectly adequate for small development teams.
Teamware (140)
In a creative environment, it is vitally important that people are able to easily share
ideas and information. Teamware provides the ability to capture and share information
across a project through the use of common— access, structured databases. A good example
35 of teamware is the Knowledge Xchange.
Teamware may be used to share many different types of information, for example:
• Technical support requests
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Technical hints, which facilitate trouble-shooting
Change requests
Resource reservation (for example, meeting rooms)
Standards and procedures
Status reports/meeting minutes
Project member availability
Project events and milestones
Functional and technical issues
Suggestions
10 • Project methodology
In order to guarantee the value of a team ware environment, it is vital that:
Consistency is maintained
Relevant updates are made (including deletions)
Storage is not abused
15 • Security is enforced
To ensure that information is consistent across different formats, it is useful to view
the management of all these information sources as part of a more general information
management process. Effective information management beyond repository management is
required to ensure that the anticipated benefits of electronic mail and teamware materialize.
20 For example, certain teamware databases require continuous maintenance in order
to remain relevant The management of the database contents may require significantly
more work than either the initial installation of the tools or the technical support for the
tools. This effort is frequently underestimated.
In addition to setting guidelines for general usage, the project must designate mail
25 administrators and knowledge managers who are responsible for:
• Maintaining user accounts
• Maintaining security profiles
• Managing database contents
• Removing obsolete information
30 • Managing resource usage (for example, disk space)
Implementation Considerations
a) What size is the project team?
Teamware will generally only be effective when used within large groups of
people. Unless a critical mass of people is achieved and content is regularly added to the
35 system, interest will soon dwindle, and the system will no longer be of any value.
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Group Scheduling (142)
Group scheduling tools help to centrally manage the personal schedules of a group
of people. This offers the advantage of being able to coordinate events that require the
participation of a number of people automatically by checking 'group availability' rather
5 than checking with each person individually. These tools may also be used to schedule
other resources such as meeting rooms and equipment.
For the use of group scheduling tools to be successful, the personal schedules of
each member of the group must always be current. This is the responsibility not only of the
group scheduler, but also of the individuals involved.
10 Audio / Video Conference (144)
In an ideal world, all meetings would be conducted face to face. In reality,
however, it is often the case that not all the individuals who are required to take part in a
meeting are on the same site. To overcome this problem, audio and video conferencing
tools allow many individuals in different locations to communicate simultaneously. Audio
15 conferencing is not a new concept, but remains a valuable tool for conducting meetings
where the issues being discussed do not require the support of visual aids. Video
conferencing takes this one step further, allowing people to interact both aurally and
visually, making for a much richer method of communication.
Implementation Considerations
20 a) Is there enough bandwidth to support a video conferencing system?
Adding bandwidth intensive applications such as audio, video, and data
conferencing could have severe effects on the network infrastructure and this must be
anticipated. This type of implementation is also based on a number of different, emerging
standards. The video conferencing system should be designed with that fact in mind and
25 provide for some degree of interoperability between dissimilar systems. For example, being
able to connect a desktop-based video conference user with a room— based video
conference user.
b) Is video conferencing the right medium for the desired purpose?
Video conferencing is an advantage when one person needs to see the other
30 person's face, his or her reactions, read body—language, build relationships, and so on. On
the other hand, when communication is more technical, for example, fixing a bug,
collaborative design, document writing, or presenting a demonstration, it is more critical to
be able to see what the other person is seeing, or to be able to show information at hand. In
this case, application sharing assumes greater importance. It is a common misconception
35 that video conferencing replaces working in the same place. The logistics involved in
setting up a group video conference for different time zones, and the complexity of sharing
a common whiteboard, limit the value of the solution to occasional situations. In a
development environment, the real value of synchronous communication is not in being
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able to see someone else at the other end, it is in being able to share a working session on a
work object.
Shared Workspace (146)
Shared workspace systems may be categorized as follows:
5 • Electronic whiteboarding
• Application sharing
Electronic whiteboarding
An electronic whiteboard provides a large, clear screen that can be viewed close up
and at a wide angle, upon which participants may 'write' with an infrared pen or a mouse.
10 Images may also be pasted onto the whiteboard.
Regular workstations on a network may also be used for electronic whiteboarding,
providing the appropriate software is installed. Electronic whiteboarding often works in
conjunction with video conferencing applications.
Application sharing
15 Application sharing allows participants to see and control the same application
running on multiple PCs. In this way they can simultaneously create and edit a single,
common file. Application sharing may be combined with audio conference.
Process Management (1006)
Process Management may be categorized into two areas:
20 • Simple process integration 148, which concerns the simple integration of a
sequence of tasks, according to a prescribed development methodology.
• Workflow management 150, which concerns more sophisticated situations
where several complex processes require the participation of multiple groups.
In either situation, the aim of the process management tools is to enforce the correct
25 sequencing of tasks and tools. Task integration must be provided in accordance with the
methodology and should provide direct support for the methodology. Effective task
integration therefore reduces the need to consult the methodology.
Simple Process Integration (148)
Simple Process Integration concerns the integration of a limited sequence of tasks,
30 for an individual, according to a prescribed development methodology. For example, the
construction process can be supported within an integrated development environment tool
by a menu with the following choices:
• Generate module template
• Generate windows and dialogs
35 • Edit code
• Compile
• Link
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• Edit test plan
• Generate testdata
• Execute test with debug
• Execute test without debug
5 • Edit script
• Compare results
The sequencing of the menu items help to remind the programmer of the steps
needed to complete the construction of the program.
Going beyond mere sequential use of tools, real-time integration of tools enables
10 real-time data interchange. The most common example is perhaps the edit/compile/debug
cycle. Here it can be very helpful to work in an integrated environment that uses the editor
and places the cursor at the position corresponding to a syntax error or to a given break-
point defined to the debugger. This integration is generally offered as a standard feature of
an integrated development environment.
15 Task integration for the individual can be achieved using scripting tools or a desk
top manager.
Real-time tools integration is most commonly provided by vendors who deliver
integrated environments.
Workflow Management (150)
20 When processes become complex and require the participation of multiple groups,
simple integration techniques are not adequate for managing the process flow.
Workflow Management tools address this problem by providing the ability to
deflne, manage, and execute automated business processes through an electronic
representation of the process, both in terms of what has to be done, and by whom.
25 For any process where multiple groups are involved, well-defined procedures must
be in place to ensure that work flows from one task to another. Each participant must have
access to the information required to perform the task, including the information from
previous steps in the flow. This can be handled manually or supported by tools. If handled
manually, it requires dedication, attention to detail, and significant training.
30 Workflow Management can be applied to many processes within the development
environment, such as quality assurance, migration, design/construction, system test, and
standards development.
Implementation Considerations
Efficient tools support for Workflow Management requires standards and
35 procedures that specify:
• Which tasks exist
• Expected and maximal duration of each task
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• What the decision points are
• How the tasks fit together to form a workflow
• How work is routed depending on the nature of the case/issue
• Which roles exist
5 • Which roles can perform which tasks
• Which individuals can fill which roles
• Priority of cases (for example, depending on the originator)
Product Considerations
Workflow Management tools must at a minimum provide support for
10 • Workflow definition
• Case Routing with
• Flexible assignment
• Escalation
• Exception handling
15 • Reporting
Tools to assist Workflow Management should support the following:
• Specification of individuals, their roles and tasks, and their relationships
• Specification of the workflow
• Automatic routing of cases
20 • Exception handling if a task is not performed within a prescribed elapsed
time
• Routing of a case based on its contents (for example, different decision
processes depending on the importance of the decisions)
• Assignment of cases to roles and to individuals, with manual override
25 • Assignment based on priority
• Re— assignment of cases
• Reporting
Security Management (216)
Security Management tools provide the components that make up the security layer
30 of the final system, and may provide required security controls to the development
environment. While some of these tools may be considered as nothing more than security-
specific Packaged Components , many are an integral part of the development environment
toolset.
Security Management tools include:
35 • Intrusion detection - discovers and alerts administrators of intrusion
attempts.
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• Network assessment - performs scheduled and selective probes of the
network's communication services, operating systems, and routers in search of those
vulnerabilities most often used by unscrupulous individuals to probe, investigate, and
attack your network.
5 • Platform security - minimizes the opportunities for intruders to
compromise corporate systems by providing additional operating system security
features.
• Web— based access control — enables organizations to control and manage
user access to web based applications with restricted access.
10 • Fraud services - methods of verifying the identity of credit card users to
reduce the amount of fraudulent credit card transactions,
• Mobile code security - protects corporate resources, computer files,
confidential information, and corporate assets from possible mobile code attack.
• E-mail content filtering - allows organizations to define and enforce e-
15 mail policies to ensure the appropriate email content.
• Application development security toolkits — allow programmers to
integrate privacy, authentication, and additional security features into applications by
using a cryptography engine and toolkit.
• Encryption - provides confidential communications to prevent the
20 disclosure of sensitive information as it travels over the network. This capability is
essential for conducting business over an unsecured channel such as the Internet.
• Public key infrastructure — provides public— key encryption and digital
signature services. The purpose of a public— key infrastructure is to manage keys and
certificates. A PKI enables the use of encryption, digital signatures, and authentication
25 services across a wide variety of applications.
• Authentication system - provides a business with the ability to accurately
know who they are conducting business with.
• Firewall - protects against theft, loss, or misuse of important data on the
corporate network, as well as protection against attempted denial of service attacks.
30 Firewalls may be used at various points in the network to enforce different security
policies.
These tools will be discussed in detail in the Security Product Evaluation
Framework to be published by Global TIS Security as part of the Security in eCommerce
project.
35 Product Considerations
a) Does the tool use Role— based access control?
Role— based access control establishes access rights and profiles based on job
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functions within the environment. If different access rights are required for security
administrators vs. code developers vs. code reviewers vs. testers, then the correct access can
be established based on these functions.
b) Does the tool have flexible auditing capabilities?
5 The security administrator should be able to granularly configure what is being
audited by the tool. The audit logs should be able to optionally record User ID, time-of-
day, location of access, successful and unsuccessful access or change attempts, etc.
c) What are the performance implications of the tool?
Some security services, such as content scanning or auditing, may add noticeable
10 processing time and requirements to the system. Tools should be architectured in such a
way that performance impacts are or can be configured to be minimal.
d) Does the tool comply with industry accepted standards?
Many standards are emerging in the security technology marketplace. These
include standards for cryptographic services, directory services, IP security, etc. In order to
15 enhance future integration possibilities, choose vendors who are developing open solutions
which comply with standards.
Information Management (202)
Information Management of the development architecture is provided through an
20 integrated development repository. At this level of integration, tools share a common
repository of development objects, design documents, source code, test plans and data.
Ideally, the repository would be a single database with an all— encompassing information
model. Realistically, the repository must be built by integrating the repositories of the
different development tools through interfaces. Tool vendors may also build part of the
25 integrated repository by integrating specific products.
Implementation Considerations
a) Is there a desire to enforce consistency in the development effort?
Engagement teams should consider the use of a repository to enforce consistency
across development efforts. A repository can store standard data, process, design, and
30 development objects for use during application development activities. Developers then
use these standard objects during implementation. As objects are defined once in the
repository and reused throughout the implementation process, applications display a
consistent look, feel, and flow while enforcing the standards inherent in the repository
objects.
35 b) Will analysis and design objects be reused?
Based upon engagement experiences, an engagement team should consider using a
repository when the development team reuses analysis and design objects and deliverables
during later phases of the development process. A repository houses many application
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development components including data definitions, process models, page designs, window
designs, common GUI widgets, message layouts, and copybooks.
These components can be reused across large development projects to increase
developer productivity and decrease the risks associated with coding and testing the same
5 components multiple times.
c) How large is the development team?
Large development teams require more standardization and control in order to
ensure that the team remains productive and maximizes reuse of analysis and design
components. A repository provides the development teams with the ability to reuse objects
10 defined in the repository in a controlled manner. Most engagements consider using a
repository once the number of developers exceeds ten.
d) Is the development team geographically dispersed?
An Information Management repository is crucial when teams whose designs must
integrate are in different places. The repository becomes a means of communication that is
15 formal and enforces the agreed interfaces.
e) Do a number of tools need to be integrated?
A repository management tool may be required to provide an integration platform
for existing and future tools, providing communication among all tools where appropriate.
Product Considerations
20 a) Is support for user defined objects required?
he repository may need to be extended by the Engagement team to support custom
objects defined by the Application Development team. Some repositories support user-
defined objects as part of the base functionality. Others allow customization of the
repository by the user while some are not designed for customization at all. If the
25 repository requires extensive customization, a buy versus build decision may be required.
b) Is a logical or physical repository more beneficial?
The Engagement team must consider the costs and benefits of a physical repository
versus a logical repository. A physical repository is implemented as a single product.
Many CASE tools employ this type of repository by housing all application development
30 objects in a single source. Application development tools are then tightly integrated with
the repository.
A logical repository integrates multiple tools to form an application development
repository. The various tools employed in the development environment are bridged
together by custom architecture components. This approach is commonly used when the
35 Engagement team takes a best of breed approach to tool selection,
c) What are the current and proposed future platforms?
The Engagement team should determine whether the repository must support
multiple platforms. The selected tool should not only support current platforms but also
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support the future platform direction of the project.
d) Does the product support multiple versions of objects?
The repository should support multiple versions of objects. By doing this, the
repository can support applications in multiple phases of development. The repository tool
5 should control access to the versions of objects by providing check— in and check— out
functionality. This allows multiple developers in various phases of development to work
from the same repository while allowing only one developer update access to a particular
object at a time.
e) Are there existing tools that influence the selection of the Information
1 0 Management tool?
Engagement teams have found that tools used in other parts of the client
organization influence the selection of a repository tool. Clients may have experience and
existing skills with certain Information Management tools that drive the decision to use
those tools corporate— wide on other initiatives. The KX may also provide input to the tool
15 selection process based on previous experience and skills of team members.
f) What are the other capabilities of the tool?
Engagement teams often chose a tool that can be used in other areas of the
development environment. Many Engagement teams select data modeling tools that can
double as Information Management tools. Using one tool for multiple purposes results in
20 fewer integration points in the architecture and less time and cost training personnel on
multiple tools.
g) Should the Information Management tool support multiple repositories?
As many repositories do not provide sufficient versioning functionality, it is
common to have more than one repository on large projects. Typically there would be one
25 repository for development, one for system test, and one for production. This improves
overall control. Another reason could be that there is concurrent development of different
releases, each requiring its own repository. Hence, on a large project, a tool that supports
multiple repositories is often a requirement.
Does the Repository Management tool allow only authorized changes to be
30 made to its contents by providing some form of access control?
The repository contents are effectively the building blocks of the system and have
broad reuse. A facility for security is required to prevent unauthorized changes to the
repository elements and hence to ensure high quality and consistent repository content. For
example, restrictions are often placed on making changes to data elements because ad— hoc
35 changes by a single designer could have devastating impacts on other parts of the design.
Repository access control is important where developers in the development
environment need to be assigned different rights to the repository. Typically, the
developers will be placed in groups with diminishing access rights such as repository
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administrator, technical support, designer, or programmer. These access rights may relate to
read/write/modify/delete authority. This method of access control is far more flexible than
simple object locking.
h) Does the tool provide repository reporting facilities?
5 Repository reports serve as an audit trail for changes to objects within a repository
and can be used to communicate these changes to the entire team. The Repository
Management tool should provide this utility.
Reports for impact analysis are extremely useful in the change control process. As
the repository maintains relationships between repository objects, 'where-used* and
10 'contains' report facilities can be very useful when dealing with change requests.
i) Is the tool an active or passive Information Management tool?
Active Information Management tools can be used to generate components,
whereas passive tools are used to hold information about the tool but are not used to build
the system. The use of an active Information Management tool increases productivity
15 because of the facility to generate components.
Does the tool need to be customized to provide an integration platform for
all the tools in the current development environment as well as those to be
supported in the future?
If the repository needs to be customized in order to integrate with all the required
20 tools, then it is important that the Repository tool has a published interface and underlying
data model Using such a repository makes interfacing other tools with the repository
considerably easier and less time consuming.
Flexibility is important if a number of point tools are to be used in the
development process as opposed to using an integrated CASE tool
25 j) Does the tools repository support validation?
All key characteristics of repository objects (for example, data elements) and their
intern-relationships should be validated. Taking data elements as an example, these
characteristics may include:
• Naming standards for data element names
30 • Naming standards for variable names associated with each programming
language
• Data element types
• Data element length and precision
• Data element window display and internal precision.
35 At a minimum, naming standards must be validated to allow better navigation of the
repository and easier reuse of elements.
Does the tool provide a means of describing entities, such as source code
files that do not exist as repository objects?
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The integrity of references to entities that exist outside the repository but within the
folder management system must be maintained. If the tool does not directly support this,
procedures will have to be put in place to ensure the consistency of references to these
entities.
5 Repository Management (102^
Repository Management is the key information management tool. The repository
should be:
• Open, with a published interface and an underlying data model. In some
development environments multiple repositories may be used. One repository can be
10 integrated to an upper-case design tool, and another one to a lower-case design tool,
each of them offering the best capabilities in their respective domain. It is then key that
repositories offer import/export capabilities, so proper bridging/synchronizing
capabilities can be developed.
• Extensible, affording the flexibility for extending the type of information
15 that can be captured.
• Integrated, with the tools that are used to populate the repository and to
draw information from the repository.
• Scalable, the repository— enabled environment must be able to support tens
to hundreds of users simultaneously, and tens to hundreds of thousands of repository
20 relationships. It should also scale downwards, so that it can also be easily used by
small projects. This is a major criteria for usability.
A development repository results in three important benefits for a development
organization and for the business units they support:
• Information is kept in one place, in a known and organized structure. This
25 means that effort is not wasted initially in recreating work that already exists and effort
is not wasted later on when reconciling relevant information. This is often referred to
as "full life— cycle support."
• Design information, created for one step of the development process, can
be fed to the next step, reducing effort and knowledge "gaps" or misunderstandings.
30 • The repository captures information relevant to each stage in application
development: design 1102, construction 1104, testing 1106, migration, execution, and
operation 1108.
Figure 11 is an illustration showing information captured in the Repository and
reused.
35 The challenge is to create such a repository. Most of the available tools on the
market do not explicitly support this comprehensive concept of a repository.
The alternative is to:
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• Extend the repository. This is why the extensibility of the repository is so
important. When extending the repository, consider how well future versions of the
base repository will accommodate the extensions. Migrating to a future version may be
more difficult after extending the repository. Extending the repository therefore
5 requires a careful trade— off.
• Use several repositories. It is not infrequent to see two repositories
coexisting; for example, one upper-case and one lower-case repository. Bridges
between these repositories are key. Quality of import/export capabilities of the various
repositories are key.
10 In many instances, content may not be stored directly in the repository and must be
placed in storage. In this case, only a reference is stored in the repository.
When complete integration is achieved, the repository can serve as a
communication enabler for a large collection of development tools. Figure 12 is an
illustration showing the Repository's central role in the development environment.
15 This can be achieved either by using an integrated CASE tool, or by integrating
point tools around a common repository.
In addition to the repository, which plays a key role, other important tool categories
include the following.
k) Security
20 Repository access can sometimes be controlled using an access control function,
which comes with the repository. A common technique is to group users and assign
different access rights to the different groups. Each of these groups is also assigned
specific read/write/delete/modify authority. For example, the following groups may be
defined as having increasing rights:
25 • Programmer
• Designer
• Technical support
• Repository administrator
A less flexible alternative is to lock objects. A locked object cannot be changed
30 until the repository administrator unlocks it. This is a less flexible approach but may be
used when flexible access control functionality is not part of the repository.
A tricky, and somewhat risky, approach to compensate for lacking access control
functionality is to use information about the repository's internal storage mechanism to
design an access control scheme. For example, if data elements are stored in a particular
35 directory, tools from the network operating system can be used to limit access to that
directory. If data elements are stored in a particular table, tools fi-om the DBMS can be
used to limit rights to that table. How well this works depends on how gracefully the
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repository handles error messages from the network operating system or the DBMS. This
approach should be tested before it is implemented.
I) Repository Maintenance
• Creating and Changing Data Elements - As soon as data element
5 maintenance becomes structured and is based on formal requests, it is practical to make
the requests available to the developers in electronic format. Ideally, the requests
should be entered into a database, which also contains information on status, comments
on the request, and other pertinent information. This database can be a useful
communication vehicle,
10 An alternative approach to maintaining history in cases where the repository
does not offer good versioning capabilities, is to maintain a shadow repository where
previous versions of repository objects are stored. This only works for those repository
objects whose maintenance is strictly controlled.
15 • Creating and Changing Other Repository Objects - It often occurs that the
repository is part of an integrated CASE tool. Here, the tools used to populate the
repository come with the repository and the integration work is already complete.
This, however, is not always the case. In some instances, the tools for
populating extensions of the repository are not provided, and in other cases, a stand—
20 alone repository is used. In these cases, the integration between the design tools and
the repository must be performed by the Technology Infrastructure team. This was
achieved on a number of projects that chose a "best— of— breed point tool" approach
where they integrated these point tools around a repository. The integration may
require some challenging work writing parsers, which analyze the output from the
25 individual point tool, and use this to populate the repository. These technical
complexities should be hidden from designers and programmers by providing friendly
interfaces to the parsers, or by having the repository administrator trigger the parsing at
regular intervals.
• Repository Validation and Mass Changes - All key characteristics of data
30 elements, and their inter-relationships, should be validated, including:
• Naming standards for the element name
• Naming standards for the variable name associated with each
programming language
• Type (for example, numeric and alphanumeric)
35 • Length and precision
• Window display and internal precision
Similar validation can be performed on other repository objects depending on
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project standards. At a minimum, naming standards must be validated. This helps
designers navigate the repository and thereby encourages reuse.
Import and export utilities, which provide exchanges between the repository
and flat files, can be useful in several ways. They make it easy to take a snapshot of the
5 repository for archiving, and they allow for reuse of the contents of other repositories.
m) Analysis^ ReportSy and Queries
Reports for impact analysis are extremely useful in the change control process. As
the repository maintains relationships between repository objects, where-used and contains
reports are usually provided with the repository. Storing the names of affected repository
10 objects in an area-affected table can be useful when grouping change requests during
assignment, or when defining a release. The area— affected table is also a valuable tool that
can be used to facilitate migration from development to system test.
The ability to easily create various repository reports is important to leverage the
information in the repository. A scripting language, a simple report builder, or a query tool
15 provides this capability. Having a query tool with an intuitive user interface and good
report formatting features is a necessity on a large project. The query tool can be used to
provide standard reports for designers and programmers, printed design information for
external reviews, and ad hoc requests for the repository administrator.
Folder Management (104)
20 It is not always practical to store all information in the same repository. One reason
for this is the repository's physical implementation. For example, if the repository is
implemented on top of a relational DBMS, this supporting structure does not provide good
support for storing flat files. It may therefore often be most practical to populate the
repository with place-holders for entities which reside outside the repository. With this
25 scheme, the place-holder serves as a logical pointer. This scheme obviously requires some
work to ensure integrity, but in practice it can work quite well. It works better if the objects
outside can be organized in a structured way. This is where folders come in. They can be
used to impose a structure on flat files; a structure, which can correspond to the structure of
the repository. Folders should provide:
30 • Flexible access rights based on user profiles, which differentiate (at least)
between read and write access
• Efficient search for a component across several folders
• Migration between folders
• Nested folders
35 • Links to avoid duplication of components while still showing that a
component belongs to several folders
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Media Content Management (106)
Methods for storing and managing media content range from simple folder
management techniques to multimedia digital asset management systems, capable of
indexing and manipulating numerous multimedia data types. There are a number of key
5 requirements for Media Content Management - in particular, a Media Content Management
system should have the ability to:
• Manage multiple file formats
• Efficiently store high volume files
• Manage metadata on files within the system
10 • Manage multiple versions of media files
• Manage revision history of changes to media files
• Control media storage across locations (online, near line, offline)
Whether the functionality described above is handled as an integral part of the
system, or by manual processes implemented by the Information Management team depends
15 on the richness of functionality provided by the tools chosen.
Additional fiinctionality provided by advanced Media Content Management tools
may include:
• Intelligent indexing of media types (allowing specialized search facilities)
• Capabilities for browsing media content (low-res images, previews)
20 • High performance proprietary file systems (both in terms of speed and
volume)
Implementation Considerations
a) What formats need to be supported?
The method of Media Content Management depends heavily on what media is to be
25 stored. Ensure that the target media formats are understood before implementing the Media
Content Management approach.
b) Where should media content be stored?
Where to store media content greatly depends on the volume of media to be stored,
and the performance requirements for retrieving that data. One thing is certain however;
30 when dealing with large quantities of media, it is necessary to employ a dedicated media
server, thus avoiding volume and performance hits with the rest of the development
environment, while allowing the possibility of tuning the media server for optimal
performance.
The cost of data storage is not insignificant, especially when considering the total
35 cost (not just that of the hardware and software, but also the effort required to support it).
This means that much thought must be put into a media storage strategy. This includes a
strategy for deciding which media should be on-line (instantly accessible), near-line
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(accessible with short delay, for example, CD juke box), or even possibly off-line (manual
intervention required).
Object Management (108)
Object Management tools provide capabilities for viewing objects, their methods
5 and attributes, and the dependencies between these objects.
Object Management tools also provide specific analysis tools, in order to
understand interdependencies between the core classes and the components. When classes
and components are modified, impact analysis tools are required to see where the modified
entity is being used, allowing them to understand what is the overall impact of the change.
10 This is more complex than with traditional systems as a veritable spider's web of
dependencies between classes, components, and applications may ensue. In addition, OO
features such as inheritance and polymorphism make tracking down dependencies with
simple text search tools much more difficult.
Note: At the time of writing, none of the object management tools currently
15 available on the market provide component management capabilities.
Quality Management (204)
Quality Management is a management discipline that promotes a customer
satisfaction focus and continuous improvement. Quality Management tools support the
definition and implementation of quality.
20 A number of integrated Quality Management tools are available that may combine
the functionality of all the required quality subcomponents into a single product. Many
quality processes however, (such as Expectation Management) do not require specialized
tools, and are therefore supported by standard productivity tools.
Metrics (110)
25 Metrics are an important part of quality management in that they provide a method
of measuring (for example, sampling, testing, and determining) whether a process or
product meets a given criterion. With Metrics, different stakeholders can agree that a
product objectively meets an expectation, or that a process has been improved by a
measurable amount. Without Metrics, stakeholders can only have subjective opinions that
30 may or may not agree.
Measurement tools are used to measure process quality and product quality.
Process quality may include Metrics such as the time it takes to process a change request.
Product quality should be measured for all the product expectations the project has set.
This measurement process is the inspection part of quality management.
35 Statistical Pro cess Control (152^
Statistical Process Control tools are used to analyze the results obtained with the
measurement tools. These display trends that can be used as the basis for process
improvement or, in other cases, product rework.
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Continuous Improvement (112)
Continuous Improvement tools are used to analyze and improve the development
processes.
Continuous Improvement is a process management technique by which action is
5 taken to modify a process when the measurement or outcomes of that process are
unsatisfactory. Process improvement is required whenever the number of defects exceeds
the desired level, productivity falls below a desired threshold, or client expectations fail to
be met. Once the process has been modified, it is remeasured to see whether the expected
gain was actually achieved.
10 Training (154)
Training tools provide methods to apply a standardized training approach to a large
group of people. Training tools can complement or take the place of traditional instructor^
led training depending on the type of information that must be communicated. Computer-
Based Training (CBT) tools offer the advantage of being able to train personnel directly on
15 the target environment.
At the more basic level, training tools can also include online or paper-based
training materials - not offering all the advantages of CBTs, but still providing the
flexibility and convenience because they can be conducted as and when the trainee requires,
and in any location. This removes the need to organize classes.
20 The decision of whether to use CBT, online, paper-based or instructor-led training
is affected by the number of people that have to be trained, the complexity of the subject,
and the availability and distribution of the people to be trained.
Program & Project Management (214)
Program and Project Management tools assist the management teams in their daily
25 work. These tools, typically packaged as integrated suites of software, provide the basic
functionality required for planning, scheduling, tracking, and reporting at both the program
and project level.
Planning
Planning tools are used to assist in program and project planning including the
30 development of the Program Resource Plan, the Work Breakdown Structure (WBS), the
Organization Breakdown Structure, Cost Accounting, milestones, and deliverables.
Scheduling
Scheduling Tools are used to allocate resources against the WBS, to determine the
timeline for a specific project, and to schedule the allocation of resources at the program
35 level.
Tracking
Project tracking tools enable the project manager to track the actual project status
against the original plan and schedule. Integration with the time reporting system and
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techniques such as Estimates to Complete (ETCs) are valuable in tracking project status.
Reporting
Reporting Tools are used to summarize status and metrics to program and project
management.
5 Configuration Management (210)
Configuration Management tools ensure that consistency between components and
a given environment is maintained over time as components are changed.
Implementation Considerations
a) Does the testing effort involve numerous applications with common components?
10 Engagement teams frequently require Configuration Management tools to support
the testing process. Large development efforts may have multiple releases of an application
in the development pipeline (development, unit test, integration test, user acceptance test,
and production). Additionally, some environments have multiple applications that share
common components. Multiple versions of common components may be required
15 depending upon the application being tested.
Configuration Management tools assist in migrating code between these
environments. These tools can also be used to manage different versions of test scripts for
various releases of an application.
b) Where is the development team located?
20 Configuration Management tools are essential when development teams are not
centralized at one location. These tools provide services, such as version control, when
geographically distributed teams need to access common modules or data, such as code
tables. Configuration Management tools may still be necessary even if the development
team is centralized, depending upon other criteria such as development team size.
25 c) How large is the application or development team?
Large applications, as well as large development teams, require Configuration
Management tools to help control versioning of code, changes to code, and migration of
code (and accompanying design and test documentation) through the development and
testing environments.
30 As the size of the team increases, the communication between team members
becomes more cumbersome. The Configuration Management tools provide a structure for
communication between team members regarding version control, change control, and
migration control.
As the size of the application increases so does the number of objects, files, or
35 components. The management of these items becomes increasingly difficult to manage and
track during the development process. The Configuration Management tool provides
structure for managing the objects, files, and components and reduces the risk of lost
information caused by version problems, or by items not being migrated properly.
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d) Is the development effort to be sustained over a prolonged period?
Over time, a large number of configurations will evolve and Configuration
Management tools can be used to control the evolution and to document these
configurations.
5 e) Is there a large number of components?
It may be necessary to keep track of and control configurations consisting of
objects such as training materials, documentation, hardware components, system software
and even building characteristics. The existence of a large number of such components
makes the task of managing their configurations complex, and a dedicated Configuration
10 Management tool becomes crucial to the process.
f) Are multiple organizations contributing?
Configuration Management tools are particularly important when there are multiple
vendors and subcontractors involved and there is a need to align what is assembled in
preparation for the integration test.
15 g) Does the system exceed 100 modules?
Configuration Management tools are needed once the system becomes large and
many modules (which may include programs, header files, copybooks, shared components,
subroutines, and so on) have to be managed. There is a significant cost involved in formal
configuration management. If the system has a little over 100 modules, the Configuration
20 Management component may consist merely of a whiteboard or Excel spreadsheet. As the
number of modules grows to about 1000, a dedicated tool is required.
h) Do the generations or versions of components change frequently?
A Configuration Management tool is important if many generations or versions are
to be managed. This will generally be the case if the project involves a large development
25 team. There may be external factors that the project team has no control over such as
hardware vendors who change their configurations frequently. The internal components, for
example, software modules must be configured to match external components such as
operating systems and hardware components.
Product Considerations
30 a) Should the engagement team build a custom configuration management tool or
purchase an existing one?
An engagement team must determine whether to purchase a Configuration
Management tool or build one. The build decision should consider the cost of designing
and developing the fiinctions required by the engagement team. Additionally, the project
35 must consider the resources and development time required to build the tool and when the
tool is needed in the application development schedule.
The buy decision can still be expensive and requires additional investments for
training project personnel. These tools also provide many features that may not be required
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by the engagement team.
b) Does the engagement team have more experience with certain tools?
Engagement teams found that tools used in other parts of the client organization
influence the selection process. Clients may have experience and existing skills with
5 certain Configuration Management tools that drive the decision to use those tools on other
initiatives corporate— wide. Andersen Consulting may also provide input to the tool
selection process based upon previous experience and skills of team members. Using tools
that the engagement team already has experience with provides several advantages,
especially a reduction in training costs.
10 c) Does an existing component satisfy this requirement?
Engagement teams sometimes choose tools that provide multiple development
functions, including Configuration Management tools. The decision to choose between
available Configuration Management tools may already have been decided as a result of
using certain other tools within the development environment.
15 d) Does the product integrate with the existing or proposed architecture?
The engagement team should select tools that integrate with other tools in the
development environment and operate on the same platform. Project teams should select
tools where vendors provide support for the integration between the Application
Development tool and the Configuration Management tool. Such integration helps to easily
20 and effectively manage the objects or files created by the Application Development tool.
How does the project define a configuration?
Does the tool handle all types of components in the configuration?
The components involved in Configuration Management typically involve
hardware, system software, and application components together with their documentation.
25 The tools should be able to manage and keep track of all the component types that make up
a configuration.
e) Does the tool provide capabilities for exception reports?
If for some reason a repository component is not at the correct promotion level, the
tool should be able to report on this when required.
30 J) Will a source control system suffice as a Configuration Management tool?
Generally, source control systems must be enhanced to provide a basic
Configuration Management tool. The functional enhancements are typically:
• Definition of a grouping mechanism for files to associate them with certain
versions.
35 • Promotion mechanisms
• Definition of interconfiguration dependencies such as between a particular
version's files and that version's related test data.
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g) Does the tool provide ease of access to information?
The tools should automate the storage and retrieval of all dependent software
components indicated by an impact analysis report.
Version Control (114)
5 Version Control tools control access to source code as it is developed and tested
and allow multiple versions to be created, maintained, or retrieved. For example, a source
code comparator can be used to identify changes between different versions of programs.
The component-based development raises a new challenge: when a single
component is used by several applications, versioning becomes significantly more complex
10 and therefore, advanced versioning software, including system support for versioning, is
required.
Implementation Considerations
a) Should the evolution of the system be tracked in terms of who makes changes or
why certain decisions are made along the way?
15 Version Control tools allow systematic storage of information about who makes
changes in what order so that the evolution of the system can be tracked.
The tools usually provide a facility to report on differences in versions so the
version that existed when a critical change was made can be identified and recreated or
retrieved. The tools can also provide a means of documenting why decisions are made
20 during the evolution of the system. These decisions would have been made based on the
version of the documentation for the system that existed at that time. Version Control tools
allow the state of the system at a particular time to be recorded- Hence improved
auditability for decisions can be achieved.
b) Is there a large development team?
25 Version Control tools allow developers to work semi-independently and to choose
the degree of integration they need at any given time. They can shield themselves from the
tentative development performed on shared components and test a portion of the system
with a stable environment around them. This prevents the development team from having
to develop one full sequence at a time and increases the ability of a large number of people
30 to work productively together, thus compressing the time required to develop a system.
c) Is there concurrent development of multiple versions of the system?
A comprehensive Version Control tool set is critical if there is concurrent
development of multiple versions of the system. This is often the case when system
development is to be sustained over an extended period.
35 Special provisions must be made to ensure that the library and repository structures
are rich enough to be able to support the necessary versions. In this environment, a log of
changes also becomes very important as fixes applied to earlier versions generally have to
be applied to later versions as well.
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d) Is it likely that the system will need to be rolled back to a previous version at
some stage in the development?
This is typically the case when the project is breaking ground, using new
techniques or untried architectures.
5 Version Control tools provide a means of taking snapshots of the system in time. If
there are changes in the environment that force the system to be rolled back to a previous
stage in the development. Version Control tools allow access to previous versions and
mechanisms for reverting to an earlier version.
e) When should I set up version control?
10 Version Control should be set up from the beginning. By delaying version control,
manual Version Control must be used. This result can be an increased cost in disk space in
the development environment (because of the number of versions of each module that must
be kept) and can lead to some human versioning errors.
J) What kind of information should I add to version control?
15 There are different approaches: Everything (hand-made code, generated files,
documentation, even compiled exec file or DLLs), some of the above etc. In general,
documentation should be added if no additional design repository exists, otherwise, use the
repository, which usually has a versioning capability. Adding binary files will usually have
to be considered during the initial setup phase, as this requires significantly more memory
20 and not all tools can handle binary files in a correct manner.
g) Which stages to add?
The stages in the version control (Dev, Assembly test, system test, etc.) should be
added according to the development approach. Strong relationship to migration control.
Should also be automated and is usually supported by the tools.
25 Product Considerations
a) Does the tool provide capabilities to cater for a system running on multiple
platforms or a distributed system?
Ideally, the Version Control tool must be able to operate on all the platforms in use,
whilst at the same time performing Version Control for all components across the entire
30 system.
b) Does the tool provide support for actions like mass builds?
Usually, custom tools are put on top of the vendors tools to support actions like
mass builds etc. Some tools (or add-ons) support this already. This is vital for the project,
as it allows huge productivity gains in later phases of the project.
35 c) How easy is it to implement batch solutions?
It should be considered if a batch/API interface exists for implementing batch
solutions.
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Change Control (118)
The Change Control system should provide the following features:
• Free format description of changes
• Classification of changes in several different ways (area affected, priority,
5 estimated cost, authorization)
• Flexible, customizable sorting and reporting to ensure that a change is
handled in a timely manner
Ideally, the Change Control system should also be integrated with workflow
support, the repository, and the source code control system. This ensures rapid processing
10 of the change, accurate analysis of the area affected, and correct locking and unlocking of
repository objects and source modules.
Implementation Considerations
a) Does the project require strict scope control?
Specifications and scope may be changed at any time if Change Control tools and
15 standards are not implemented. This can result in the project running over budget, or being
delivered late with inconsistent quality because requirements change continuously.
b) Is the system complex?
Change control has broader applicability than to just application source code. It
may also affect the look and feel, training materials, documentation, and so forth. Change
20 Control must be formalized if the system is complex with many components.
c) Do changes need to be authorized by specific personnel?
Change control tools provide a vehicle for ensuring that only authorized changes
are made and signed off. This ensures conceptual, proper ownership of the total look and
feel of the application. Change requests may also be rejected or deferred by an authorized
25 person.
d) Is coordination of changes required?
Facilities to track interdependencies between change requests (for example, change
request A must be completed before change request B can start) are provided by Change
Control tools. This can be used to encourage efficient scheduling and to ensure that work is
30 not duplicated.
e) Should a record be kept of changes that fall beyond the capacity of the project at
that time?
Change Control tools can provide a vehicle for capturing good ideas. If the project
does not have the capacity to implement those ideas at present, the Change Control tool can
35 be used to capture those ideas. These ideas can be reinvestigated when a future release is
planned.
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f) Are conflicting change requests likely to occur?
Change request tools can be used to identify changes that conflict, for example, one
user wants a green background and another wants a blue background. The changes must be
resolved through some kind of dialog or discussion and Change Control can be used to
5 initiate this process.
g) Is it likely that the system will need to be rolled back to a certain state?
This is typically the case when the project is breaking ground by using new
techniques or untried architectures.
Change control tools provide a means of identifying at what point in time a critical
10 change was implemented and that information can be used to find out what version existed
at that time.
h) Is there a need to evaluate the impact of implementing a change on the project ?
Change control tools typically support some kind of impact analysis and may be
integrated with an impact analysis tool set. Impact analysis is important in order to group
15 changes so that they can be implemented effectively.
Multiple changes may affect the same component and it would be wasteful to open
that component many times over and implement the changes one at a time. Impact analysis
can be used to ensure that all relevant changes to that component are implemented together.
Hence impact analysis is important for scheduling purposes and for estimating cost.
20 Product Considerations
a) Does the tool provide a capability to classify change requests?
Change requests may occur as a consequence of changing requirements, or as a
result of nonconformities (or defects) in the system. The tool should be able to classify
change requests into categories such as incidents, faults, or enhancements. The tool should
25 also have the ability to update these categories if required.
Classification of different change requests in several different ways such as area
affected, priority, estimated cost or authorization is important to ensure correct scheduling
of the implementation of changes. Flexible, customized sorting and reporting based on this
classification is required to ensure that change is handled in a timely manner.
30 b) Should an Impact Analysis tool be purchased or developed?
Impact analysis tools are typically required to provide analysis of a wide range of
types of documents such as Word, Excel, or PowerPoint.
If an impact analysis tool cannot be found that supports the entire environment, it is
critical to develop procedures or utilities that will report on where items are used. The first
35 step is to identify the items to be searched, and to build procedures around searching them
(for example, databases, files, workspaces, programs, screens/forms, reports). It is also
important to identify who will be responsible for the impact analysis (DBA, analysts,
programmers, team leaders, and so on) to avoid this work falling between the cracks.
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c) Does the tool provide free format description of changes?
Free format descriptions are important because this allows better and more
understandable documentation of change requests and associated decisions.
d) Are there going to be multiple releases of the software?
5 The tool should allocate change requests to different releases based on priority and
resource availability. It should also provide a means of attaching a deadline to a change
request.
Does the tool provide a means of indicating which development team member is
best suited to perform the implementation of that change request?
10 This functionality should be available as part of the scheduling capability. An
added feature would be the capability to balance workload across the team.
e) How does the tool handle exceptions?
The tool should provide a capability to generate exception reports that highlight
issues such as change requests that are in danger of not meeting the release to which it was
15 allocated.
f) What is the prediction for volume of change requests for the project?
The tool should be able to cope with the expected volume of change.
g) Is validation of data entered into the change request form a consideration?
It may be necessary to ensure that the data entered on a change request form is
20 valid. This is particularly important if the development team is inexperienced or if the
project is particularly complex. An example of data validation would be to ensure that the
change is assigned to a valid team to prevent a change request from falling through the
cracks.
h) Is recording of resolution details and root causes required?
25 This capability provides useful tracking across the complete life cycle of a change
request.
i) What reporting capabilities are needed on the project?
Some Change Control tools can report on status of change requests at the
individual, team, and project level. Such reports can provide information about work done
30 to date and Estimate to Complete (ETC) values.
j) How many users will simultaneously be accessing the system?
The tool should cater to the size of the project. Maintaining consistency of
information may otherwise become a problem with simultaneous access. The tool should
provide some kind of protection of change requests if simultaneous access is likely to occur.
35 k) Does the tool provide a means of prioritizing change requests?
The tool should provide capabilities for prioritizing change requests based on
business rnipact and the impact of implementing the change.
Does the tool provide capabilities for predicting the cost, risk, and instabilities
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created as a result of implementing a change request?
These capabilities need not provide completely automated prediction but should
work in conjunction with an analyst.
I) Does the tool identify component dependencies?
5 This is an important aspect of impact analysis that is required to ensure that all
components impacted by a change request are identified.
Migration Control (116)
Migration Control tools control multiple versions of source code, data, and other
items as they are changed, tested, and moved from one development environment into
10 another, for example, from development to test and from test to production. Data migration
control tools manage multiple versions of the database and its data to ensure that accurate
data and structure are maintained in the environment, and to ensure that versions of
application code and database are deployed consistently. Types of data that would be
migrated include base codes data and converted data.
15 Other Migration Control tools manage other types of objects to ensure that
complete versions of all components reside in the production environment (for example,
test definitions and scripts).
Implementation Considerations
a) Are there multiple environments running in parallel?
20 Multiple environments are typically required when the project is faced with serious
time constraints. Typically the project team performs integration or systems testing on one
portion of the system, while developing the next portion. The team corrects errors based on
one test while at the same time, the next test cycle or testing of the next part of the system is
performed. This means that multiple environments exist that are configured differently and
25 use a different version of the system components. The migration of these different versions
and configurations between environments must be carefully controlled using Migration
Control tools. For successful migration there must be consistent migration of all
components and their dependents.
b) Are multiple releases being developed in parallel?
30 If multiple releases are being developed in parallel, it is vital to provide a consistent
means of migrating configurations and versions from one environment to the next. This
ensures that there is no confusion of components in each release as the move is made from,
for example, a unit test environment to a system test environment.
c) Is the development effort to be sustained over a prolonged period?
35 Migration control tools keep a log of what is migrated. It may be required to
review what has happened over time, in order to gain an understanding of the current status
of the system.
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d) Is there a need to control who activates migration from one environment to the
next?
Migration control tools ensure that only authorized personnel can trigger the
migration of components from one environment to the next.
5 e) Is the system complex (consisting of more than 1000 components)?
The task of promoting components and locking these components to prevent
concurrent or unauthorized updates to them or their dependents becomes very intricate as
the number of components reaches 1000. Migration control tools can be used to improve
productivity by facilitating and controlling the migration from one environment to another
10 and by automating the process. It is possible to bring a large project to a complete halt if
Migration Control is not properly enforced.
Product Considerations
a) Does the tool support the migration of all the components that make up a
migration object?
15 The Migration Control tool should be able to manage and control the migration of
all the components (for example, source code, database access, make files, run-time data,
environment variables, code libraries, code tables, third-party software, and so forth) which
make up the object to be migrated. The complexity of theNetcentric world with so many
integrated vendor solutions dramatically increases the number and variations of object
20 types.
b) Does the tool facilitate the migration of many components together as well as
migrating components individually?
Migration from a development environment to a system test environment either
involves a large number of components (migration of all the components belonging to a test
25 cycle) or single components (after code fixing in a program). Either way the Migration
Control tool should lock the migrated component to control changes and allow better
coordination with the system test team.
c) Does the tool support all the required platforms?
In a development environment where there may be different platforms, it is
30 important that the Migration Control tools be able to synchronize source migration across
platforms. Unit and system tests are normally performed on every platform so the
migration tool should be able to promote the components across platforms as well as from
environment to environment.
d) What is the migration strategy?
35 A push strategy should be facilitated by the migration tool if it is decided that
modules should be tested when those modules are ready for testing. This is normally the
case for unit testing. A pull strategy is needed if the order of component testing is
important as is normally the case for system testing.
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In implementing a push strategy it is usual for the individual programmer to be
responsible for migrating the module. If this is the case then the tool should be easy to
learn and use. Using a pull strategy may decrease the number of people required to know
how to use the tool.
5 Release Management
Release Management tools should provide:
• Planning functionalities, to help planning design and development effort
• Monitoring functionalities, in order to measure progress towards delivery
goals
10 • Project interdependencies management
• Interface with the change control system
Ideally, the Release Management system should also be integrated with workflow
support, the repository, and the project/program management system.
Environment Management (206)
15 The modern development environment is both complex and sophisticated. It
supports many different functional and technical requirements (illustrated by the execution
architecture), many different development teams, tools from many different product
vendors, and often must support projects at different stages of the development life cycle.
As such, it is a mission— critical production environment and must be managed based upon
20 an operations architecture. The extent to which the areas of the operations architecture are
implemented must also be a factor of project size and duration.
The environment management requirements in this section are based upon the
MODE (Management of Distributed Environments) conceptual framework. This section
uses MODE as a framework, adopts MODE terminology, and focuses on those management
25 tasks from MODE which are particularly important in the development architecture.
MODE identifies four main areas:
• Service Management
. • Systems Management
• Managing Change
30 • Service Planning
The subcomponents of Environment management reflect these four MODE areas.
Service Management (122)
Service Management tools support the various aspects of supporting and managing
the interface with developers.
35 As defined in MODE, these include the following:
• Tools to support and manage the Help Desk
• Tools to support the creation, management, and reporting of Service Level
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Agreements (SLAs) and Operations Level Agreements (OLAs)
• Tools to manage and support the quality of the development environment
Systems Management (126)
Systems Management Tools support and manage the operation of the distributed
5 system. Many specific monitoring and analysis tools are covered in detail in the Network
Performance Management practice aid and the Technology Products and Vendors database ,
both available on the Knowledge Xchange.
Startup & Shutdown
A comprehensive development environment rapidly becomes sufficiently complex
10 that the startup and shutdown of the environment must be managed carefully, and
preferably automated. This is key to ensuring the integrity of the environment. Startup may
involve the carefully sequenced initialization of networking software, databases, web
servers and more. Similarly, shutdown involves saving configuration changes as needed
and gracefully taking down running software in the correct sequence.
15 Backup & Restore
The incremental value of the daily work performed on the development project is
high. This investment must be protected from problems arising from hardware and
software failure, and from erroneous user actions and catastrophes such as fires or floods.
The repositories and other development information must therefore be backed up regularly.
20 Backup and restore procedures and tools must be tested to ensure that system components
can be recovered as anticipated. The large volumes of complex data generally require
automation of backups and restores.
The advent of Netcentric technologies has introduced an increase in media content
that requires storage. The environment may support a high volume of media files, which
25 must be considered in the backup/restore plans. Storage capacity planning should allow for
the typically increased size of these file types.
As the amount of storage will grow significantly over time on a large project, the
hardware requirements will increase. Sufficient room for growth should be planned when
selecting the tools and hardware. Switching tools and hardware can be problematic due to
30 lack of upward compatibility (DDS - DLT, various tools etc.).
The time required for backups must also be considered. Usually the number of
hours without development per day decreases over time and if backups can only be
performed when no user is logged in, this might become a problem. It is generally the case
that the project will benefit from buying the fastest and largest backup hardware/software it
35 can afford.
Archiving
Archiving can be particularly useful to safeguard information from previous
versions or releases. More generally, it is used to create a copy of information that is less
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time-critical than the current environment at a given time. Archiving may be performed to
a medium, which is different from the backup medium, and may involve other tools which,
for example, provide a higher compression ratio.
Security
5 Security tools are required in the development environment to ensure against
unauthorized access by individuals and system processes, to limit damages caused by such
unauthorized access, and to audit access the environment services. At the security
management level, it may be valuable to have tools which help manage security profiles,
security groups, and access rights.
1 0 Product Considerations
a) Does the tool use Role- based access control?
Role— based access control establishes access rights and profiles based on job
functions within the environment. If different access rights are required for security
administrators vs. code developers vs. code reviewers vs. testers, then the correct access can
15 be established based on these functions.
b) Does the tool have flexible auditing capabilities?
The security administrator should be able to granularly configure what is being
audited by the tool. The audit logs should be able to optionally record User ID, time-of-
day, location of access, successful and unsuccessful access or change attempts, etc.
20 c) What are the performance implications of the tool?
Some security services, such as content scanning or auditing, may add noticeable
processing time and requirements to the system. Tools should be architectured in such a
way that performance impacts are or can be configured to be minimal.
Performance Monitoring
25 Performance Monitoring tools help ensure that the available resources are sufficient
to meet the developers' performance requirements. These tools can be used to assess end—
to-end performance of both batch processes such as backups, and interactive processes
such as repository-based file retrieval.
Service Planning (124)
30 Service Planning is the planning required to anticipate and implement changes to
the following areas:
• Service management
• Systems management
• Managing change
35 • Strategic planning
All these areas relate to the development environment and are analogous to the kind
of planning that must occur in the business application's production environment. Key
types of tools for development environments include Performance Modeling and Capacity
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Planning tools.
Performance Modeling
Performance modeling tools in this category support the analysis of the
development environment's performance, as opposed to that of the client/server application
5 being developed. A simple spreadsheet may be suitable in some well-known and
understood environments, but dedicated performance modeling tools should be considered
on any project with high transaction volumes or complex environments involving multiple
platforms.
Capacity Modeling
10 Capacity modeling tools support the maintenance of adequate processing capacity
for the development environment (for example, workstations, servers, storage devices, and
network capacity). These tools range from spreadsheets to dedicated capacity modeling and
simulation tools.
Managing Change (120)
15 Managing Change tools support the various aspects of identifying and managing
change in the development environment. Specific tools are discussed in detail in the
MODE Products Database on the Knowledge Xchange.
Data and Software Distribution is a key tool in this category for development
environments that have several developers. These tools enable automated distribution of
20 data and software to the workstations and servers in the development environment.
Problem Management (212)
Problem Management tools help track each system investigation request - from
detection and documentation to resolution (for example, Problem Tracking, Impact
Analysis, Statistical Analysis).
25 Problem Management tools log information about problems detected, classify them,
and generate reports. This is essential for capturing metrics information.
The major functions of Problem Management are:
• Problem source and metrics information
• Problem solution information
30 • Planning support for problem fixing and migration preparation
• Impact analysis capability:
• Link to the application design repository to get a precise impact
analysis on a problem
• Link to the test plan management system to keep track of the cycle and
35 test the condition where the problem occurred, to determine the test stage work unit
affected by the problem
It is important to select an automated Problem Management system that is
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integrated with the program's testing and Configuration Management tools. Therefore, the
Problem Management system must be able to support the testing model selected, for
example, the V-modeK and have tight integration with the Migration and Version Control
tools associated with Configuration Management.
5 An automated test script tool can be integrated to allow users to reference scripts
that were being used when the error or defect was found. A data repository can be
integrated into the Problem Management application that will allow the users to build
relationships between problems and design and test documentation and application
components.
10 An ability to associate problems with affected work packages and a mechanism for
version control changes for the work package is necessary so the package can be migrated
back into the testing environment.
When considering an automated tool, also consider what type of security is required
for the Problem Management application. This is closely tied with the Configuration
15 Management tools. Only one person should have the rights to review and approve problem
analysis tasks as well as problem migration activities.
Implementation Considerations
a) How are problems handled at each stage?
b) How do I plan for trapping problems?
20 c) Do I re test problems at different stages?
The following is an overview stage containment as documented by the Reinventing
Testing Project (RTP).
Stage containment is an approach to identify problems in the system before they
pass to the next stage. It is a measure that helps build quality into the system. The goal of
25 stage containment is to minimize the number of errors being passed to the next stage. For
the purpose of stage containment, problems are sorted into categories. Errors are defined as
problems found in the stage where they were created. Defects are problems found in a stage
successive to the stage where they were created. Faults are problems found in production.
The longer a defect remains undiscovered, the more difficult and expensive it will be to
30 correct. Because each stage relies on the decisions made during the creation of the
specification in the previous stage, detecting an error in a stage after it was made may
invalidate some or all of the work done between the time the issue was created and the time
it was discovered.
The V-model specifies that testing in one stage must be completed before moving
35 on to the next stage of testing. Before moving up to the next stage, it is key that the exit
criteria defined for that stage have been met. A part of the exit criteria for each stage is that
the test has been successfully executed, therefore ensuring the test objectives (or primary
focus of the test) are accomplished before moving on to the next stage.
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Once the objectives of one test stage are met, there is no need to repeat the same
testing at the next stage. This is a key concept of the V-model and one that proves difficult
to accept and use in practice. There is often a desire to retest just to "make sure everything
is OK." Doing so, inevitably leads to time-consuming testing. In addition, it leaves less
5 time to do the testing required for the current stage of testing, ultimately resulting in
minimal, if any, time for the last stage of testing. In other words, minimize gaps and
overlaps between the testing stages while ensuring quality of delivery.
It is possible, however, that testing at one stage may, and should, use test scripts
from previous stages. Two stages of testing may be executed together, using the same
10 scripts, but both sets of test conditions must be covered (that is, both sets of objectives must
be met). All stages of testing are required. For example, a thorough assembly test cannot
make up for inadequate component testing, as the objectives of each test stage are different.
d) What other components does the Problem Management system interface with?
RTP has identified the following components as interfaces with the Problem
15 Management system.
• Configuration Management - When a defect is ready for migration, the
Migration Control system can be used to pass the list of components to migrate. The
Problem Management system can keep track of the migration date obtained from the
Migration Control system.
20 • Design Repository - An impact analysis of a specific component in error
will be performed directly on the design repository by providing a means to use the
appropriate design repository function or having the Problem Management system
referencing the design repository objects.
• Test Data Management - Test results, expected results, and data
25 comparison results can be linked to a defect to provide centralized access to the
information. Integration also aids in keeping track of the cycle where the problem
occurred, the test condition, and therefore the business function affected by the
problem.
e) How many design repositories should be used?
30 J) What does the design repository interact with?
Typically, the design repository represents the basis of the application
development. It is mainly involved during the construction phase of the application and is
used to centralize the application definition data. The design repository can be complex,
providing impact analysis and application generation features.
35 In a testing environment, the design repository is a safe means of analyzing the
impact of a problem on the whole application.
Having two separated systems, one for Problem Management and one for
application design, duplicates the information and introduces errors. Therefore, the
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interaction between the design repository and the Problem Management, Test Planning, and
Configuration Management components significantly increases productivity and reduces the
risk of errors.
Product Considerations
5 a) Are there any Problem Management tools identified?
Problem Management tools log error information, generate error reports (such as
System Investigation Reports or SIRs), classify problems, and record information on the
source of the error. Problem Management tools are essential for the capture of stage
contaimnent metric information.
10 b) What engagement factors affect the use of Problem Management tools?
• Risk rating of the engagement - In general, management and planning tools
help better address the engagement risks. A high risk rating for the engagement affects
positively the decision to use tools such as Test Planning, Test Data Management,
Problem Management, and Configuration Management.
15 • Criticality of the engagement - In general, management and planning tools
help better manage the engagement and ensure the timely delivery of a quality system.
Therefore, dealing with a highly critical engagement will most likely affect positively
the decision to use tools such as Test Planning, Test Data Management, Problem
Management, and Configuration Management.
20 c) What testing team factors should be considered when using a Problem
Management tool?
• Communication between development team and testing team — A Problem
Management tool can be used to track issues, design changes, and so on, and serve as a
communication tool between teams. As part of a Change Control mechanism for the
25 engagement, such a tool can help improve communication between the development
and testing teams. Thus, bad communications between teams can still have a positive
influence on the decision to use Problem Management.
• Size of the testing team - The size of the testing team has an impact on the
decision to use a Problem Management tool. If the testing team is large, keeping all
30 team members informed on the status of identified problems is a more complex
endeavor than with a small team. The larger the testing team, the more benefits will be
derived from using a Problem Management tool to support testing.
Similarly, the larger the testing team, the more benefits will be derived from
using a Test Data Management tool (easier control over the test data for the various
35 testers), a Configuration Management tool (easier control over all system
configurations and component versions) and a Test Plan Management tool (easier
control over all test cycles, subcycles, their execution statuses, and so on).
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System Building (218)
System Building tools comprise the core of the development architecture and are
used to design, build, and test the system. All the system building tools must be integrated
and share development objects appropriately.
5 Analysis & Design (128)
Analysis tools are used to specify the requirements for the system being developed.
They are typically modeling and diagramming tools, which provide the ability to diagram
system requirements and specify "what" a system must do.
Design tools are used to specify "how" a system will implement these system
10 requirements. They are typically diagramming tools, which graphically depict how the
system will be built in terms of its key components. This differs between classical
client/server systems and component— based systems:
The standard client/server model comprises application logic, presentation, and
communication components, which together support the business processes. For a
15 client/server system, each of these components must be individually defined.
The component— based systems, however, have the data model and process models
encapsulated within the object model. In addition, the design of the component model is
directly affected by the business processes which govern the way these objects interact.
Therefore, with component-based systems, the object and component models encapsulate
20 the data and process models.
Data Modeling
Data Modeling tools provide a graphical depiction of the logical data requirements
for the system. These tools usually support diagramming entities, relationships, and
attributes of the business being modeled on an Entity-Relationship Diagram (ERD).
25 Several techniques have evolved to support different methodologies (e.g., Chen, Gane &
Sarson, and IDEF).
As systems are often built on top of legacy databases, some data modeling tools
allow generation of an object model from the legacy database data model (DDL). By
understanding the E-R diagram represented by the database, it is easier to create an
30 efficient persistence framework which isolates business components from a direct access to
relational databases. Caution is required, however, as the resulting model is at best only
partial, as an object model has dynamic aspects to it as well as static relationships, and may
not correctly reflect the analysis performed in the problem domain.
When a component or object— based approach is used, data modeling is not
35 performed. Rather, the object model contains both the data and the behavior associated
with an object. In most systems relational databases are used and the object model must be
mapped to the data model. Standard mechanisms for mapping objects exist. Tools such as
Persistence (Persistence Corp.) and DBTools (Rogue Wave) can generate the code
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necessary to map objects to a database.
Implementation Considerations
a) Can the development process benefit from a DDL generation tool?
Data modeling tools allow DDL to be generated from the data model. The tools
5 should support DDL generation for the chosen RDBMs (Sybase, Oracle, DB2). In addition,
the DDL generator should take advantage of the specific advanced features supported by
each of the RDBMs.
b) Can developers benefit by a graphical depiction of the logical and physical data
requirements?
10 Data modeling tools help to graphically develop the logical and physical data
requirements for an application. These tools depict logical constructs such as entities,
attributes, and relationships between entities, along with physical constructs such as
database definitions and table indices.
It is useful for developers to have read— only access to either a hard or soft copy of
15 the data model during development. This document rapidly becomes a key discussion
document in design discussions. It is useful to show tables, columns, primary keys, and
foreign keys (if all of this will fit on a diagram at the same time !) in the document
Graphical depiction is not only useful but essential to data architects, DBAs and
also to application developers (the latter group is often omitted). As in most cases, a
20 picture speaks a thousand words.
c) Is there a need for consistency in data across applications?
Data modeling tools promote consistency in application development by defining
standard names and attribute characteristics for the application data. Application
developers then use the standard entity and attribute definitions across various application
25 development initiatives. This results in a consistent definition and usage of data. For
example, all applications that require customer number will use the standard name and
attribute length defined in the data model. Database administrators will also use the data
model to generate physical database definitions that are consistent with the application
under development. Thus, the data model acts as a single source for data definition.
30 All applications should have data consistency that is linked back to a set of business
data standards. Failure to achieve an agreed set of definitions will jeopardize the ability of
the separate applications to perform as a business unit, for example, applications will not be
able to share data if they are in different formats or use different code lookups. Data
consistency must be agreed FUNCTIONALLY during analysis and design. Data modeling
35 tools will help to document data definitions but they will not automatically enforce data
consistency.
d) Are there more than 100 entities in the data model?
At this level of complexity a dedicated data modeling tool is necessary.
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Does the system incorporate object oriented methods?
Is a relational database being used to store persistent objects?
Fully normalized data models are a different view of the corresponding object
models. On the one hand, the data model does not show behaviors (methods). On the other
5 hand it does show resolving entities that are normally modeled as container objects and may
be internal to an object. A data modeling tool is useful for showing how the persistent
objects map to the relational database.
e) Is there a need to communicate the business data requirements without regard to
the DBMS or platform?
10 A data model is a technology-independent model of an organization's data
requirements consisting of diagrams and descriptions of entity types, attribute types,
relationship types, and integrity constraints. It is a flexible, non— redundant, non-
constraining model. As a simplified representation of reality, it has no regard for such
physical matters as how data is to be retrieved or how long it will take. The data model
15 presents a concept of the business data in an idealized structure. It is a useful tool to
communicate the scope of the project.
J) Is the system complex and changing?
Good data modeling requires a full understanding of the business data involved.
Data modeling becomes more important as systems become more complex and
20 sophisticated. The data structures which support such systems must be flexible and be able
to accommodate change. The data model is the best means of identifying and representing
these changes.
g) Is database design going to be performed?
The finalized data model is used as a basis for the logical database design. The
25 logical database design converts the finalized Project Data Model to one of four basic
structures, according to which DBMS is used:
• Hierarchical (rarely used today)
• Network (e.g., IDMS)
• Relational (e.g., DB2)
30 • Inverted List (e.g., ADABAS)
Although entity-relationship diagrams are independent of specific DBMSs or
access methods, a logical database design is not. This design is highly dependent on the
platform components and may need to be repeated for each location type and platform type.
This process is simplified if a data model is used.
35 h) Does the system interface with external systems having their own data
definitions?
Data modeling tools allow documentation of the data in so far as it appears in the
data model (and ultimately in the database). However, there is usually a significant number
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of other data definitions which will never appear in the database, and whose definition is
different to the data model attributes. For example, most systems have interfaces to external
systems, and inherit a legacy of interface files whose data definitions may differ to those on
the data model, but which do logically correspond to fields on the model. These data
5 definitions must also be documented and stored but are effectively outside the data model.
The data modeling component should be used to implement procedures to address all the
data definitions that affect the system.
Product Considerations
a) What is the intended use of the tool?
10 The features required in the data modeling tool will depend on the intended use of
the tool. If the tool is to be used to develop logical data models, it should support logical
constructs such as entity definition, attribute definition, subtyping, and supertyping. If the
tool is to be used for physical data design, it should support the physical constructs required
for the targeted RDBMs, such as transforming a logical model into a physical model,
15 database definition, index definition, and DDL generation.
b) Does an existing component satisfy this requirement?
The development architecture may already have tools that support data modeling.
For example, many information management tools (repository) provide data modeling
capabilities. Using a single tool for multiple functions reduces the developer learning curve
20 and provides integration between the components of the development architecture.
c) What other utilities are available with the data modeling tool?
It is important to consider the various utilities available with the data modeling
tools. Two such utilities include impact analysis and reporting.
Impact analysis capabilities allow the user to understand the impact of a change to
25 the data model. Impact analysis functionality is one of the key tools used by engagement
teams to assist with change management and change control activities.
Some products will also include report generators which are useful for generating
data and attribute definition reports as well as ad hoc reports.
d) Does the development team have any prior experience with data modeling tools?
30 A data modeling tool may be chosen based upon prior experience with the tool by
the client or members of the engagement team. This reduces the learning curve associated
with integrating a new tool into the development environment.
e) How well does the data modeling tool integrate with other development tools?
Data modeling tools commonly integrate with the repository and with system
35 building tools such as window painters and Application Logic Design tools. If the tool does
not provide seamless integration with other components of the development environment,
the engagement team can build bridges between components, or develop manual procedures
in order to share information.
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It is important to consider how the data modeling tool integrates with the design
repository. It is important to maintain a cross-reference of the attributes on the model,
with the definition of data elements in the design repository. Such data element definitions
will also address non-database data definitions (e.g. external i/face files).
5 f) What level of data modeling is required?
During the early conceptual design, data modeling need not be very detailed. It
should be a participative, team activity, and is usually very unstable. In this case, a tool
such as a white board or PowerPoint will suffice.
As the design becomes more detailed, more sophisticated tools are needed. At the
10 lowest level of detail consistency is vital and a repository-based tool can be used to ensure
consistency across the data model.
g) Should the data modeling tool provide database design facilities?
There are some tools which do not incorporate this feature, such as ARIS, which is
strictly a data modeling tool. This may be helpful to guard against moving too far into the
15 design during the analysis phase.
Most data modeling tools allow you to develop the database design at the same
time. This has the advantage of keeping costs down as two separate tools need not be
purchased, and of ensuring consistency by providing a direct interface between the two
phases.
20 h) Does the data modeling tool support submodeling?
Submodeling enables complex models to be broken down into smaller more
manageable and understandable models while still maintaining unique object definition.
This is particularly important for large teams where data modeling is divided among several
teams.
25 i) Does the data modeling tool provide support for a multi- designer environment?
The information management component may provide the security needed in a
multi-designer environment. If this is not the case then a multi-designer data modeling
tool should be used. The tool may provide a central dictionary which allows design data to
be shared between several designers and includes security checks to monitor any conflicts
30 in overlapping access rights between designers.
J) Does the tool provide facilities to add color to the data model?
The facility to add color to the data model is useful for communicating additional
dimensions such as data ownership.
k) Is entity life history required to be documented?
35 The data modeling tools must support a facility for ELH modeling for entities that
have their status changed by a wide range of events. Any entity which has an attribute
containing the word status is a likely candidate.
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I) At what point should inconsistencies in the design be controlled?
Designs should be consistent. However, enforcing internal consistency at all times
can lead to design gridlock which prevents innovation or progress. The tool should support
the project decisions regarding consistency.
5 Process Modeling
Process modeling tools provide a graphical depiction of the business functions and
processes being supported by a system. The tool(s) selected must support the modeling
techniques being used in the development methodology. These include process
decomposition, data flow, and process dependency.
10 Implementation Considerations
a) Are the processes that the system is to support ill- understood or is there little
consensus on what these processes are?
Process modeling is a method for clarifying and communicating the business design
of the system. The process model can provide an effective means of bringing people
15 together, creating a shared vision of how the business is to function.
b) Do the processes vary from region to region and need to be standardized?
A process model provides a means of standardizing a set of similar processes which
exist, for example, at different branches of the business.
c) Does the project include process re-engineering or process— streamlining?
20 The re-engineered processes in the process model may form a basis for the systems
design which is to come afterwards. Requirements and constraints for the system design
can be well represented and communicated in a process model.
d) Is process simulation required?
Advanced process modeling tools provide process simulation capabilities. Process
25 simulation ensures that the process design is adequate as a basis of the functionality of the
software that is to be developed.
Product Considerations
a) What approach is to be used for process modeling?
The tool may need to support the creation of business function decompositions or
30 data flow diagrams depending on the approach used.
Data flow diagramming is used when the application has a complex or innovative
workflow or if the analysis and design teams have little experience with the application.
Business function decomposition is used when the application is fairly routine and
the team has extensive experience with similar applications.
35 b) Does another component support procedure diagramming?
A business function decomposition diagram can be produced using a procedure
diagramer.
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c) Are common process symbols to be reused?
The tool should provide a facility to create custom symbols for the process flow
and these should be reusable.
d) Does the tool support the expected size of the process model?
5 The process model may include hundreds or even thousands of processes. The tool
should be able to support the expected size of the process model.
e) Does the data flow diagramer support leveling of diagrams?
Some tools allow leveling of the diagram in which a process box on a high level
diagram is decomposed into multiple processes on a lower-level diagram. To ensure that
10 the diagrams are easy to understand and that they easily convey information, it is useful to
keep the diagram size to one window or one printed page. The facility to level a large
diagram can help to achieve this.
f) How does the data flow diagramer support data stores that are used by more
than one process?
15 It is often the case that processes that share a data store cannot be placed near each
other on the diagram. To avoid complicating the diagram, some tools allow data stores to
be depicted more than once on the diagram. The tools may provide facilities to differentiate
these stores from stores that have not been duplicated in this manner.
g) Can control flows be represented by the data flow diagramer?
20 It may be necessary to depict control flows. The tool may represent these as data
flows without any data elements, such as, for example, a signal from a timer function.
h) Does the tool support validation of the diagram?
To ensure that a data flow diagram is complete, each process should have at least
one input and one output. Unless data stores are shared with other systems, each attribute
25 of each data store must have at least one input flow associated with it. The tool should
facilitate the identification of exceptions to these general rules.
i) Is a detailed process model with complex processes to be documented?
At the lowest level of a data flow diagram or a business ftinction decomposition,
there may be processes that are still too complex to be explained by a label or even a short
30 paragraph. For example, this may be the case if complex interest rate calculations are to be
performed by the process. An elementary process description may be required for each
such process. The process modeling component should include tools that enable the
description to be documented. The description may be formatted as plain English,
structured English (resembling pseudo-code), decision tables, or as action diagrams.
3 5 Event Modeling
Event modeling tools provide graphical depiction of the events and associated
responses for the system, A variety of tools and techniques can be used for event modeling,
for example, word processors to develop simple textual lists of events and data flow
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diagramming to show events and responses.
For component-based development, event modeling or interaction sequence
modeling may be performed through interaction diagrams, both at the object and component
level. The event model is often used as input for test scripting.
5 Implementation Considerations
a) Is there a need to capture the essence of how the business functions without
becoming tangled in the current sequence of processes?
Event modeling does not fix the sequence of processes. A process starts when a
specified event occurs, and may generate other events when it has finished. Event modeling
10 notation allows focus on what steps the process must do as opposed to "how" it sequences
the steps. This form of representation is especially useful for processes that will be re-
engineered, since it allows steps to be re— arranged easily.
b) Is there some uncertainty about the functional requirements or scope of the
system?
15 An event model represents external actions which the system must recognize and
responses which the system must produce. Events express the system's perception of
external activities. Therefore, event modeling allows the external environment to influence
the requirements definition, rather than basing the environment on the applications
structure. This approach supports the applications consistency with the workflow and other
20 business activities and thus clearly defines the scope of the system.
c) Are the business requirements of the system to be communicated to a large team
or to the users?
An event model represents the user requirements in concise business terms. When
used in conjunction with the process model, this provides an effective means of
25 communicating the system requirements from the business design team to the systems
design team or to the users.
d) Does the architecture have several disjoint systems that need to respond to the
same business event?
By using event modeling and a central event router architecture, interfaces to
30 several systems can be easily and flexibly provided. Each system registers itself with the
event router and indicates which business events it is interested in. Whenever an event is
triggered, the router is notified. It then triggers all the applications that registered
themselves as being interested in that event.
Applications can generate events as required to ensure that appropriate next steps in
35 the process are performed after they have completed their part.
e) Is a real— time system to be developed?
Real— time systems require very strict responses to events within specified time
frames. Event modeling is critical to ensure that real-time systems meet this requirement.
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f) Is the extent of change to the business particularly large such that a detailed
requirements model is needed?
The requirements model (event, process, and data models) provides a clear means
of depicting the system. The requirements model summarizes the relationship between
5 events, data, and processes. It consists of the event model, the process model, and the data
model. The event model is important because it details the business transactions and events
enough to understand the process and data models. Event modeling tools must be provided
to complete the requirements model.
Product Considerations
10 a) Do other tools provide the required functionality?
Event modeling and process modeling go hand in hand and are typically provided
by the same tool.
b) Are events triggered by time easy to represent?
The modeling tools chosen should provide a means of clearly depicting events that
15 are triggered by time e.g. the year end event.
c) Does an existing component provide all the necessary facilities?
A flow charter is generally required to graphically depict the events. There is also a
text description of the events which can be documented using a tool such as MS Word or
MS PowerPoint. Entity life cycle diagrams, Event-Stimulus-Response diagrams or
20 matrices, or Context diagrams may be required to complete the model.
d) Is the system complex?
As the number of events increases, the complexity of the event model increases and
the diagramers may need to support certain facilities such as intelligent connectors. Simple
graphics packages may not suffice at this level.
25 Performance Modeling
The performance of a system must be analyzed as early as possible in the
development process. Performance modeling tools support the analysis of performance
over the network. A simple spreadsheet may be suitable in some well-known and
understood environments, but dedicated performance modeling tools should be considered
30 on any project with high transaction volumes or complex distributed architectures involving
several platforms.
In the case of Internet-based applications, as the Internet is not a controlled
environment, performance modeling is limited to those components within the domain of
the controlled environment (i.e. up to the Internet Service Provider). However, In the case
35 of intranet-based systems, where the environment is controlled from end-to— end,
performance modeling may be performed across the entire system.
Performance modeling for components involves the analysis of the projected level
of interaction between components and the level of network traffic generated by this
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interaction. It is important for performance reasons that communication between
components is minimized, especially if these components are distributed.
Implementation Considerations
a) Is the system complex or heterogeneous?
5 A performance model ensures that performance requirements are met in a complex
or heterogeneous environment. Performance is usually a critical quality requirement in
such environments.
b) Does the system involve extensive communication over a Wide Area Network?
The complexity involved in designing systems over a WAN makes performance
10 modeling tools critical to success for such systems.
c) Are there hundreds of users? Are there tens of servers?
Due to the complexity of such systems, performance modeling tools are important
in ensuring performance requirements are met.
d) Do experience and benchmarks indicate that there may be difficulties in meeting
1 5 the performance requirements as stated for the system?
In this case performance modeling tools are critical, since penalties may be incurred
if the system does not meet the performance requirements. A performance model provides
a means of deciding early on whether the system is feasible or not.
e) Is what if analysis required for future growth?
20 f) Is what if analysis required for alternative hardware configurations?
g) Is what if analysis required for hardware loading?
Performance modeling tools provide a means of analyzing how much future growth
or what alternative hardware configurations can be sustained before the system breaks
down. This component may be needed even though it is obvious that the system will meet
25 the current performance requirements.
h) Are high transaction volumes or complex architectures expected for the system?
Dedicated performance modeling tools should be considered for any project that
involves high transaction volumes or a complex architecture with several platforms.
Performance is critical for such systems and a performance model is required in order to
30 predict and optimize that performance.
Product Considerations
a) Does a generic tool such as a spreadsheet package suffice as a performance
modeling tool?
A specialized performance modeling tool should be used when the system is
35 complex and involves high volumes of data, or is heterogeneous.
As design progresses from high level conceptual design to detailed design, to
technical design, there is a corresponding sequence of activities involved in performance
modeling. As the design becomes more detailed, so does the performance model. The
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model may start as a simple spreadsheet and evolve into a collection of spreadsheets with
many sheets in each book. As the structure and parameters become overwhelmingly
complex, a dedicated modeling tool with its own data model, user interface etc. is a good
investment.
5 A performance modeling tool should not be purchased due to a lack of
understanding or inexperience of performance modeling, since the tool will not clarify the
issues any more than a spreadsheet model.
b) Does the tool allow empirical data to be fed back into the performance model?
Performance modeling must be backed up with empirical data at the earliest
10 possible stage. Initially, this will be through performance benchmarking usually using a
small equivalent of the production system. The results should be fed back into the
performance models to improve their accuracy. There should be a means of differentiating
empirical data from estimates in the model.
Object Modeling
15 An object model usually contains the following deliverables:
• Class Diagram (1 per functional area or 1 per component)
• Class Definition (1 per class)
• Class Interaction or Sequence Diagram (1 or more per scenario / workflow)
• Class State Transition Diagram (1 per Class with complex state)
20 Guidelines for creating object models can be found in the ODM MKB database .
Tools such as MS Word, MS PowerPoint, ABC Flowchart (Micrografix), may be
used to produce these deliverables. Specific modeling tools do exist, however, and provide
advantages such as cross referencing (for example, are all the methods used in the
Interaction diagrams described in the class definitions?), automatic propagation of changes
25 to other diagrams, generation of reports, and generation of skeleton code. However, some
tools have problems with:
• Usability and stability
• Single users or small numbers of concurrent users
• Proprietary repositories (usually file-based, rather than DB-based)
30 • Support of extensions / custom izations
As well as providing the usual editing and graphical functionalities, a good
modeling tool should:
• Interface with a repository (to support versioning)
• Support multiple users
35 • Generate code from the design
The use of UML notation to represent the object model is becoming more and more
common. In this case other diagrams such as Use Cases (from Ivar Jacobson) and
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Collaborations Diagrams complement the model.
Component Modeling
Component modeling can mean either designing components from scratch, or
customizing and integrating packaged software. No specific component modeling tools
5 exist, and current object modeling tools only offer limited support for components (e.g. for
packaging related classes together). Class packages can be used to separate the object
models for different components, with a separate class package(s) for the component modeL
This approach, however, is not enforced by current modeling tools, and requires project
naming and structuring standards.
10 When component modeling is being performed using existing packaged software,
some form of reverse engineering or importing is required from the modeling tool to
capture the existing design.
During component design the partitioned component model is designed, which
defines physical interfaces and locations for components. It is important for performance
15 reasons that communication between components is minimized, especially if they are
distributed.
Reuse Support
It is during analysis and design that really large savings can be obtained by reusing
existing solutions. At this stage, reuse is often at the subsystem level but can extend down
20 to the service and module level. Asset navigation tools, which permit the retrieval of
reusable components, can therefore be of great value.
For a component-based or object-based solution, reuse is usually with a specific
aim. It occurs at different levels and requires different types of support.
At the analysis and design stage, common classes and components are used across
25 applications. Repository management is required that allows easy browsing and sharing of
pieces of design.
During the construction phase, there may be strong interdependencies between the
core classes and the components. This must be taken into account when planning the work.
When classes and components are being fixed or modified, impact analysis tools are needed
30 to see where the modified entity is being used. This is more complex than traditional
systems as a veritable spider's web of dependencies between classes, components, and
applications may ensue. In addition, OO features such as inheritance and polymorphism
make tracking down dependencies with simple text search tools much more difficult.
In terms of tools, a class or library browser is required, which allows easy
35 navigation and identification of candidate components and classes.
In many cases, there can be a mismatch between design and build, especially if no
detailed design phase exists. This may result in the existence of two repositories. The
object or component model produced in the design phase is at a higher level and gives a
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good introduction or overview. The actual code, however, is where developers tend to go to
find out how an application really works. When this is the case, the source code can be
used as the detailed design. There are tools that extract documentation (from comments in
a given format) and generate HTML pages. Examples of such tools include:
5 • Java — javadoc, part of the jdk
• C++ - available from http://www-
users.cs.umn.edu/— kotula/cocoon/cocoon.htm
The ideal situation is a single repository for analysis, design, and code, allowing
developers to move from design to code and vice versa. However, most tools have
10 proprietary repositories and their import/export facilities are not sophisticated enough to
merge the two. For the moment, source code and design documentation remain two
separate repositories.
Prototyping
It is frequently difficult to obtain specific, reliable, and complete requirements that
15 truly express what users need. This may stem from users being unavailable or
inexperienced with computer systems, or it may arise from the nature of the system under
design. For example, if the system incorporates very new technology, it may be difficult for
users to visualize the possibilities.
Prototyping can address this problem by simulating key user interface components,
20 thus enabling the development team to measure the usability of the proposed system at a
very early stage. The most important quality of a prototyping tool is its development speed.
If prototyping can be performed in hours or days rather than weeks or months, it becomes
possible to perform more iterations, which explore different options. This may lead to a
much better system, given that the user's perception matures with each iteration. This, in
25 turn, improves the quality of user input.
Very rapid, lo-fidelity prototypes (for example, paper-based) play an important
role in early prototyping. Hi-fidelity prototypes, used later on in the design process, should
be as close to the target system as possible, and highly detailed - even down to the
characteristics of a button click (e.g. click-down image, click sound, length of click etc.).
30 This way, everyone (including the design teams) can determine exactly what the final
system should look like.
User involvement at the prototype stage is of the utmost importance - regular user
reviews as the prototype evolves will ensure buy-in from the users, and avoid unpleasant
surprises at later stages of development.
35 Caution must be taken not to raise the expectations of the users in terms of the
length of time it will take for the final product to be delivered. Prototyping will deliver
something that looks like it "works" very quickly. It should be clear that what is delivered is
a model and not an application. Clients may expect real application functionality to be
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developed and delivered quickly due the fast turnaround of the prototyping process, which
will invariably not be the case.
Prototypes may also be used to prove architecture concepts (for example, to verify
the flow of messages from the client to the host), to ensure that the system is not based on
5 an architecture that is fundamentally flawed.
It is important to determine whether to carry forward and extend the prototype, or
throw it away after requirements have been determined and perform technical design from
scratch. Some prototyping tools offer the possibility of reusing code from the prototype.
Although this is a valuable option, it is often available at the cost of slower prototype
10 development. An interesting compromise may be to keep portions of the prototype (for
example, user interface components) and rebuild other components from scratch.
In component based development, prototyping may be a valuable way of checking
that component boundaries are well defined. However, this implies that the architecture
must be defined at the time of prototyping.
15 Specific multi-platform prototyping facilities may be required when developing
and deploying applications across multiple platforms.
Prototyping functionality is usually included in Integrated Development
Environments (IDE).
WARNING: If the prototyping tool used is not part of the execution environment,
20 the use of features that are difficult to implement in the target environment should be
avoided. Prototypes will set user expectations, which may be difficult to meet once
construction starts. Specifically, it is important to ensure that the performance of the
prototype does not exceed the projected performance of the target system. If user
expectations are built upon a highly-performant prototype, there is the potential of
25 considerable disappointment when the final system is rolled out.
Implementation Considerations
a) Will the target system run on multiple platforms?
If so, it may be important to ensure that the prototype also runs on multiple
platforms (particularly if the prototype is a technical prototype as well as a functional one).
30 b) Is application performance an important consideration?
Prototyping tools can be used to identify potential performance problems in an
application. A development team can use a prototyping tool to implement a portion of an
application to identify performance problems. The team can then use this information to
improve designs and provide guidelines and standards for designs. Thus, prototyping leads
35 to a better designed and more consistent end product.
c) Do the users have experience with GUIs?
Prototyping tools allow engagement teams to demonstrate the look and feel of an
application to the end user. The tool should be capable of providing a realistic
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understanding of the final application without requiring an extensive construction effort.
Prototypes can be used to interactively gather business requirements and design the
application with the end user. If the tool supports interactive prototyping, changes can be
quickly incorporated into the prototype and demonstrated back to the user. This is important
5 when users are inexperienced with GUI. Prototyping the look and feel of the application
and interactively gathering business requirements assist in gaining user acceptance of the
system.
d) Are the system requirements ill defined, vague and poorly understood?
A prototype provides a means of communicating what the system is intended to do
10 and can clarify system requirements. The prototype may become a throw-away if it
becomes clear that the development style of the prototype is not conducive to a quality
product. It is often more cost effective to start afresh incorporating the added
understanding which was developed during the prototyping stage.
e) Are the user requirements vague?
15 It is frequently difficult to obtain specific, reliable, and complete requirements that
truly express what users need. Prototyping can solve this problem by simulating key user
interfacing components. User interface issues which are detected later are generally costly
to change.
J) Is this a high usage and dedicated system, where throughput matters?
20 If the system is to be used by dedicated people where the measure of productivity is
solely the number of transactions they can get through per second, then user interface
prototyping tools are important. Prototyping tools provide a means of getting to the easiest
and most efficient interface. Prototyping tools facilitate selection between alternative styles
of interaction and provide a means of addressing performance issues.
25 g) Do the users have a choice of whether or not to use the system?
User interface prototyping tools are important since they allow developers to obtain
user input early on in the GUI design process. This induces user ownership and acceptance
of the system.
h) Is user input a criterion for getting the system adopted, such as might be the case
30 when a union or organized labor is involved?
By using prototyping tools to get user input, ownership and acceptance of the
system is facilitated. Adoption of the system by users and ensuring that their expectations
are reasonable can make the system less expensive to deploy.
i) Does the technical architectural design use new or unfamiliar components or
35 does it tdse a proven system?
Prototyping the technical architecture provides an ideal way to quickly determine if
the design is feasible before a major commitment is made to a design that cannot work.
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j) Are selected parts of the system to be piloted on the project?
Portions of the application could be selected for design and coding in advance of
the full-scale design/code effort. This will help iron out architecture issues, user design
preferences, standards, designer/development training requirements, and produce quick
5 wins for the project which can build morale for the team and client. A prototype can serve
as a means of identifying the portions to be piloted.
k) Are new team members likely to join throughout the project?
A prototype can serve to quickly familiarize new team members with the user
requirements, reducing the ramp-up time for new team members. Project team members
10 should be familiar with the goals and use of a system in order to effectively develop an
application.
I) Is the project management team unfamiliar with the development team they will
be working with?
Prototyping allows the project management team to judge the capabilities of a
15 development team with whom they are unfamiliar. The prototyping effort allows some
preliminary assessment of skill sets.
m) Is there some uncertainty about the product to be used in construction?
Prototyping can allow the project team to validate the capabilities and
characteristics of products which will later be used for development. Many products
20 (PowerBuilder, Visual Basic, etc.) are marketed as being the best, but may fall short of
project requirements. Use of such tools during prototyping allows some "qualification" of a
product*s true capabilities. Performance, compatibility with existing client infrastructure,
etc., can be tested.
Use of a product during prototyping (that is early purchasing) also allows a
25 development team to determine the quality of the technical support within the company
providing th^ product. It also allows time to work through some of the business models of
those companies (their willingness to negotiate on issues, pricing, etc.).
n) Is system performance an important factor?
Prototyping and benchmarking the performance of a technical environment enables
30 possible performance problems to be identified as early on as possible.
o) Do the users have little or no experience with the interface technology?
Prototyping serves as a means of introducing the users to the interface. Problems
the users may have in working with the interface can be identified early on, and can be
accounted for in training materials that are developed.
35 p) Is there a high degree of innovation in the work flow?
Prototyping allows the developers to experiment and, with input from users, come
up with the best solution to a new and unproven workflow.
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q) Do the project team and client fully understand the review and sign- off
process?
Prototyping allows the project team and the client to work through the issues and
mechanics of the review and sign-off process prior to the intensive development phase.
5 Product Considerations
a) What is the purpose of the prototype deliverable?
b) Is the deliverable used to document the design of the application or provide an
accurate depiction of the look and feel of the application?
An engagement team should select a prototyping tool to support the level of detail
10 for the prototype deliverable. Initial application prototypes may use low-fidelity
prototyping techniques (prototypes built using MS PowerPoint or pencil and paper, etc.) in
order to document initial window designs and determine dialog flow (navigation). Some
advantages of low-fidelity prototyping include little or no learning curve, lack of
standardization which increases designer creativity, and ease of modification. However,
15 this type of prototyping can not provide the user with the look and feel of the final
application. High fidelity prototypes require more sophisticated tools which can provide a
more realistic depiction of the application.
c) Is the prototype demonstrating the application behavior to the users?
d) Is the depiction of application behavior used in development decisions?
20 A prototyping tool should deliver an accurate depiction of the application including
window flow and business functions. The prototyping tool should allow the display of data
in a window with the look and feel of the navigation.
e) Is reusability of prototype deliverables a requirement?
f) What is the objective of the prototype?
25 Depending on the objectives and timing of the prototype, all or part of the prototype
deliverable can be reusable during later stages of the application development process.
Some projects create prototypes in the very early stages of design to demonstrate the
capability of the tool and obtain user acceptance, rather than gathering business
requirements and documenting design based on the requirements.
30 If the objective of the prototype is to document designs based upon business
requirements, then prototyping tools should be chosen with reuse in mind.
g) Is the prototype used to gather business requirements?
h) Is the prototype developed during Joint Application Design (JAD) sessions with
users?
35 The prototyping tool should be easy to use so the application designer can quickly
incorporate changes to the prototype. User input should be incorporated as quickly as
possible into the prototype and demonstrated back to the user. This helps to acquire user
sign off on the application design and to gain acceptance of the application.
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i) Does the prototyping tool support reuse?
Prototypes often represent a large investment, and in situations where a prototype is
successful it should be possible to reuse the prototype in the remaining construction
process.
5 Although prototyping tools may have the facility to provide reusable code for the
system development, it is often available at the cost of having a slower prototyping tool.
The reuse of code may not be a good idea since some of the design methods used for
prototype development may not be suitable or desirable for application development.
Another option which is supported by some tools is that certain prototyping
10 components can be reused e.g. window defmitions. The tool selected for prototyping
should allow easy transfer of the required components into the development environment.
j) Can the prototyping tool be used to design and build the front end?
The prototyping tool could also be the tool that will be used to design and build the
front end. Using the same tool eliminates double entry of repository information and
15 reduces the chance of errors when prototype information is transferred to the application
design phase of the project.
k) Does the prototyping tool support functionality not provided by the construction
tool of choice?
If the prototyping tool provides functionality not available in the construction tool
20 then standards need to be put in place to ensure that the development team only produce the
prototypes using features that can be implemented in the development environment. The
amount of additional effort required to develop features that are easy to implement with the
prototyping tool but which require work-arounds in the construction tool should be a
consideration. Prototyping features which cannot be delivered will result in failure to meet
25 user expectations.
Application Logic Design
Application Logic Design tools are used to graphically depict an application. These
tools include application structure, module descriptions, and distribution of fimctions across
client/server nodes.
30 A variety of tools and techniques can be used for Application Logic Design.
Examples are structure charts, procedure diagrams (module action diagrams), and graphics
packages to illustrate distribution of functions across client and server.
Application Logic Design functionality is also provided by a number of Integrated
Development Environments (IDEs).
35 With component-based development. Application Logic Design is performed
through object and component modeling. The fiinctionality is captured in use cases,
scenarios, workflows and/or operations diagrams along with interaction diagram s/sequence
diagrams. These are usually produced using MS Word, MS PowerPoint, ABC Flowcharter
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(Micrografix), or an object modeling tool.
Implementation Considerations
a) Is there a need for logic representation?
Use Application Logic Design tools to graphically depict the logic of an
5 application. This is a common requirement on most engagements.
b) Is there some uncertainty about the validity of the business case?
The Application Logic Design tools provide a means of confirming the complexity
estimates and hence facilitate a revision of estimates before going into construction. By
confirming the validity of the complexity estimates, the business case is also confirmed. It
10 is at this stage that the decision is made whether or not to continue with construction.
c) Is performance modeling required?
Application Logic Design tools can provide a basis for performance modeling,
based on the processing ability of the CPU, parallelism, and pipelining. The tools can be
used to graphically depict system complexity, from which a performance model can be
15 derived.
d) Is the programming team inexperienced?
Application Logic Design tools provide a vehicle for communication from designer
to programmer. This is particularly important when programmers are relatively
inexperienced and need detailed guidance, which comes from the detailed design that is
20 documented using these tools.
e) Is system maintenance part of the project definition?
Application Logic Design tools, and the designs that they contain, provide
documentation of the system which will support maintenance in the long run.
If the maintenance team is very experienced, or if the system is a throw-away
25 prototype, which will not be reused or maintained in the future, then Application Logic
Design tools may not be required.
Product Considerations
a) Should the engagement team build a custom Application Logic Design tool or
purchase an existing one?
30 Engagement teams must determine whether standard design templates provided by
vendors meet project needs, or if the architecture must provide custom solutions. CASE
tools tend to provide standard Application Design documentation. Most custom solutions
utilize word processing tools to build Application Logic Design shells for use by
development teams.
35 b) Are several tools to be used to provide Application Logic Design facilities?
A single tool may not provide all the facilities required. The different tools must
interface with one another in order to promote consistency of the Application Logic
Designs.
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c) Does an existing tool provide the required functionality?
The development team may require facilities to produce procedure diagrams,
flowcharts, or pseudocode. These facilities may already be provided by existing tools, for
example, pseudocode can generally be produced by an application development tool.
5 d) Does the Application Logic Design tool reflect the close relationship between
application logic and the user interface?
In a good GUI program design, the application logic is often closely linked to the
user interface. A single design document capable of capturing this relationship could serve
as a key input into the programming process. Traditional tools only provide separate
10 presentation design and application processing module design documents.
Database Design
Database design tools provide a graphical depiction of the database design for the
system. They enable the developer to illustrate the tables, file structures, etc., that will be
physically implemented from the logical data requirements. The tools also represent data
15 elements, indexing, and foreign keys.
Many data design tools integrate data modeling, database design, and database
construction. An integrated tool will typically generate the first-cut database design from
the data model, and will generate the database definition from the database design.
With an object— based or component— based solution the data modeling task
20 changes. In most cases, relational databases are still used, even where there are no
dependencies on legacy systems. As there is an 'impedance mis-match' between an object
model and a data model, a mapping activity must be undertaken. There are standard
mechanisms for doing this. There are also tools on the market which allow the mapping of
classes to relational tables, and which generate any necessary code to perform the database
25 operations (e.g. Persistence, DBTools, ...).
There is a tendency (especially when dealing with legacy systems) to treat data
models and object models the same. It is important to recognize that at best, the data model
represents only the static part of the object model and does not contain any of the transient
or dynamic aspects. The physical data model may also change significantly (forDB
30 optimization), further confusing the issue.
There can be performance problems with objects mapped to a relational database.
In a worst case scenario, an object can be spread across many tables, with a single
select/insert for each table, and as each object is loaded one by one, the performance
becomes very poor. Some tools provide lazy initialization (only loading the parts as they
35 are needed) and caching (minimizing DB hits).
The current trend seems to be for object-relational databases, with vendors such as
Oracle adding object features to their core products. Although the support provided at the
moment is limited, it is likely that in future versions Java or C++ classes will be able to
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interface directly.
Implementation Considerations
a) Do the design ideas need to be communicated to a large team of developers?
Database design tools are important where design ideas must be communicated to
5 the development team. Where the development team exceeds ten people, this design must
be formalized. Database design tools provide a graphic depiction of the database design for
a system, whilst at the same time enabling the developer to illustrate tables and other
structures that will be implemented physically.
b) Is system performance a major consideration?
10 Database design tools become especially important if performance is critical, since
database design contributes substantially to the overall performance of the system.
Database design tools provide quantifiable performance data which is a crucial component
of the overall performance model.
Database Design tools also provide a means to model I/O on devices such as hard
15 disks, optical drives, and tapes etc. This information can be used in a performance model.
c) Does the project have multiple teams working on multiple functional domains?
The database design component is important in the case where multiple teams are
working on different functional domains, since they often model different parts of the
database separately and then incorporate these models at the end into one large database
20 model. Database design tools can be used to enforce consistency of the different database
designs.
d) Does the database include a very large number of tables and elements?
Navigation through a large number of tables is complicated and can be simplified
significantly if dedicated database design tools are used.
25 e) Are there likely to be conflicting system requirements?
Different teams or users may have different requirements which conflict. These
requirements may have to be rationally traded-off against each other. Where these
requirements are performance related, the trade-off can only be rationalized on the basis of
a good database model.
30 Product Considerations
a) Does the product provide the following features?
• Support for definition of DBMS advanced features (e.g. triggers, stored
procedures, replication, application logic, application generation, referential integrity)
• Support for versioning and change control
35 • Cross platform and DBMS integration
b) Should the database design tools support database construction?
Many database design tools allow for database construction. Such tools may help
translate a logical database design into a physical design, or they may generate Data
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Definition Language (DDL) code or Data Manipulation Language (DML) code. The
advantage of using a tool that provides this facility is that it simplifies the transfer of design
information into a physical representation and can be used to ensure consistency from
design into construction of the database.
5 Presentation Design
Presentation design tools provide a graphical depiction of the presentation layer of
the application, such as windows, dialogs, pages, navigation and reports. Tools in this
category include window editors, report editors, and dialog flow (navigation) editors.
Window editors enable the developer to design the windows for the application using
10 standard GUI components. Report editors enable the developer to design the report layout
interactively, placing literals and application data on the layout without specifying
implementation details such as page breaks. The majority of these tools generate the
associated application code required to display these components in the target system.
Dialog flow (navigation) editors enable the developer to graphically depict the flow
15 of the windows or screens.
The Control— Action— Response (CAR) diagram is a commonly used technique for
specifying the design of GUI windows. It is typically developed using a matrix or
spreadsheet tool such as Microsoft Excel.
The majority of Netcentric systems use Web browsers to provide a common cross-
20 platform user interface. Presentation design for this type of environment therefore entails
the generation of HTML pages, often with additional components (JavaScript, 3rd party
ActiveX controls, Plug-ins) providing enhanced functionality or media content. Many
tools are currently available for designing and creating web content, although HTML
remains the common denominator, at the very least as a placeholder for the content.
25 In the case of systems published on the Internet, defining the target audience is less
straightforward than in traditional systems, but equally important- Having a good
understanding of the intended audience will be a big advantage when thinking about user
interaction with the system, and therefore, the presentation layer of the system.
Implementation Considerations
30 a) Does the project want to use a single tool for prototyping and GUI design?
Presentation design tools provide the ability to use a single tool for both
prototyping and GUI design. This decreases the learning curve during design and permits
components of the prototype to be reused.
b) Are user requirements clearly defined?
35 c) Are numerous iterations of design anticipated?
These tools make application development easier and faster through point-and—
click capabilities and built-in functions. Reduction in the overall presentation layer
design/development effort allows for more design iterations, and thus more chances for user
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feedback.
d) Has a specific construction tool been selected for the project?
If the tool to be used for construction is not known at design time then specific
tools for presentation design are needed.
5 e) Is the design complex?
f) Does the design have to be presented to multiple users?
g) Do the users have conflicting interests?
h) Does the design have to be signed off?
i) Does the design have to be maintained over time?
10 In these cases a dedicated presentation design tool can be used to provide
maintainable documentation of the presentation design which can be used to clarify and
communicate issues.
Product Considerations
a) How much does the tool cost?
15 Product components, maintenance agreements, upgrades, run-time licenses, and
add— on packages should be considered.
b) Will the design tool be used for programming of client applications? What
programming language is supported?
If the design tool is used for programming, there are several features of a tool that
20 must be considered. These features can have an impact on the productivity of
programmers, performance of the applications, skill sets required, and other tools required
for development. These features include:
• What programming language is supported? Is the programming language
interpretive or compiled? Is it object oriented or a structured procedural language?
25 • Does the tool support programming extensions to Dynamic Link Libraries?
• What are the debugging capabilities of the tool?
c) Will the tool be used with a large development team?
If the development team is more than 5 people, a tool should provide support for
multiple developers. This support includes features such as object check-in/check-out, a
30 central design repository for the storage of application objects and user interface
definitions, and version control. Additionally, the development team should be able to
cleanly divide the application(s) into pieces that can be worked on by multiple developers.
d) If the tool is also going to be used for application development, how well does
the tool perform during production?
35 Computational, network, data retrieval, and display speeds differ for products.
Factors to consider are whether the application will consist of heavy data entry, transaction
processing, or a large user base.
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Does the product integrate with other tools and/or support other tools in the
development and execution environments?
It is important to determine how well the product integrates with other design and
development tools, presentation services (graphics, multi-media, etc.), data access services
5 (databases and database API libraries), distribution services (distributed TP monitor),
transmission services (SNA, HLLAPI, etc.), data dictionary, desktop applications, and
programming languages for call-out/call-in. Additional consideration should be given to
add-on and third-party products/enhancements such as specialized widgets, report writers
and case tools.
10 e)Is the tool scalable?
The tool should be scalable to support growth in application size, users, and
developers.
f) What functions are required in the control set?
At the minimum, a tool should support basic widgets (push buttons, list boxes, etc.),
15 window styles, (multi-window, multi-document, paned-window), and menu styles, along
with validation and inter-application communication. Consideration should also be given
as to the extensibility of the toolset via add-ons and third party products.
g) What databases are supported?
h) What protocols are used to communicate with the database?
20 Important considerations include the supported databases and protocols used to
communicate with the databases. The tool must support the selected database.
Additionally, if database selection may change, it is important that the tool have the ability
to support other databases with minimal impact on the application development. Native
database interfaces tend to have better performance than open standards such as ODBC.
25 i) What level of technical support, documentation, and training is required to
ensure the productivity of developers?
The extent of support (on-site, phone, bulletin board, world-wide, etc.), quality of
documentation, and availability and location of education/training should be considered.
j) What type of learning curve is associated with the tool?
30 Developers using the product should be able to become productive quickly.
Factors which reduce the learning curve include an easy to learn and intuitive interface,
thorough and clear documentation, and on-line help.
k) Can the tool be used for both prototyping and GUI design?
The ability to use a single tool for both prototyping and GUI design will reduce the
35 development learning curve. Tool integration with all other development tools should also
be considered.
I) What platform(s) are supported?
The platform(s) that must be supported, i.e., MS-DOS, Windows, IBM OS/2,
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UNIX, or UNIX Motif, are an important consideration, as are any hardware restrictions.
m) Is there a need for consistency across multiple screens or windows?
Some presentation design tools provide the facility for reuse of elements. This can
be used to enforce consistency across multiple screens and can accelerate development.
5 This feature is not available in low-end presentation design tools, such as MS PowerPoint.
One means of ensuring reuse is for the tool to support a central library of
predefined widgets or screen elements. This library should be extendible and customizable,
allowing developers to create new widget/element definitions or to enhance existing ones.
n) Is multi- language support a consideration?
10 Special characters, differences in field lengths, and differences in number formats
are some of the things that contribute to the complexity of a multi-language application.
Window and report design are among the areas affected by differences in the language used
for presentation.
Strategies on how windows are displayed are affected if multi-language support is
15 a requirement. Are separate windows painted for each language or are window literals
dynamically replaced? The former will produce windows that are more visually appealing
but requires more significant effort to create and maintain.
The presentation design tools should facilitate documentation of these differences
for design purposes and allow the design strategies to be implemented.
20 o) Is the tool integrated with the repository of choice?
The presentation design tools should be tightly integrated with the system
components stored in the repository, such as windows, reports, screens, and other more
abstract models to ensure consistency.
p) Is a multi— media application to be developed?
25 Touch screen hotspots, video clips, hypertext, pointer device hotspots and other
similar design objects must be supported by the presentation design tool if the design is for
a multimedia application.
Communication Design
An increasingly important aspect of system design is communication design. After
30 the fundamental communication paradigms have been chosen, each exchange must be
designed to allow for the detailed design of each module (clients, services, functions), and
to lay the basis for more refined performance modeling. To ensure against interface
problems, these tools should be tightly integrated with the design repository. One simple
way to document communication interfaces is to define include files, which hold the
35 interface definitions.
Implementation Considerations
a) Is performance simulation or modeling required?
Thorough performance simulation or modeling requires a communication model. A
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performance model is particularly important if the system is large, heterogeneous, and
complex.
A valid performance model can only be created once a detailed communication
design has been developed for the system. The performance model is derived from the
5 detailed communication design. Communication design tools provide a means of
documenting the physical design of the system, such as protocol stacks, message sizes,
routers, bridges, gateways, LANs, WANs, MANs, etc. as well as the logical design, both of
which are used to develop the performance model and to simulate performance.
b) Is the system migrating from a central to a distributed environment?
10 c) Is the system migrating from a LAN to a WAN environment?
d) Is the system migrating from a country wide WAN to a global network?
When development takes place in a mainframe environment, performance is
relatively predictable. In a distributed environment, response time is dependent on the
communication design.
15 Migrating from a LAN to a WAN, or from a WAN to a global network will
drastically impact the performance of the system, and this type of migration requires the
development of a complete communication design from which a performance model can be
derived. Thus, tools to facilitate the communication design become a critical part of the
development architecture when migration of this sort is involved.
20 e) Is high network performance required?
Communication design tools are essential in developing systems where critical
business operations have to have maximum availability and minimum down time. One of
the primary contributing factors to high performance in client/server environments is a good
network design. A good network design can only be achieved through a good
25 communication design.
Product Considerations
a) Is the tool repository based?
The best support for detailed communication design for a large development team
is provided by a repository. Here the messages, calls, and queries can be modeled and
30 designed as entities in their own right. These entities provide a necessary basis for
performance and module design, which can be shared by all developers.
b) Is there a need for a graphical depiction of the communication design?
A graphical depiction of the communication design may be required. For simple
designs, tools such as PowerPoint are normally adequate. Data flow diagrams may be used
35 to show how clients send messages to services. The tools used should help developers to
ensure that objects in the diagrams are linked to the actual objects (Windows, Services, etc.)
in the repository. This will maintain consistency of the design documentation with the
actual objects used in development.
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c) Do existing tools provide the necessary functionality required to produce the
communication design for the project?
A simple and effective method of defining interfaces is by using include files to
hold the interface definitions. The application development tools usually provide this
5 facility.
A spreadsheet package such as Excel may also be used to design message layouts.
For simple graphical depictions of the communication design, a tool such as
PowerPoint is adequate.
d) Does the tool encapsulate knowledge of the services provided by the middleware
10 layer?
The middleware layer provides the basic functions for applications in a
heterogeneous environment to interface with operating systems, networks and
communication protocols.
If the tools used encapsulate knowledge of the middleware services, low level
15 design of communication (e.g. designing at the level of named pipes and sockets) need not
be supported or investigated. The middleware component abstracts this level of detail so
that the designers need not concern themselves with complex technical issues.
Usability Test
From a development perspective, systems that are designed and tested with
20 usability in mind offer clear advantages. This is providing Usability Testing is executed
from the user perspective, and from the very beginning of the development process.
Usability Testing can help developers:
• Reduce risk by confirming that they are building the right solution
• Identify new system requirements
25 • Decrease development time and money by reducing rework
• Achieve a smoother conversion, with less disruption to business
Each system is designed to meet the unique requirements of its users, and therefore
benefits from a different mix of testing techniques. In many cases, designers find that the
best starting point is to build and test low- fidelity prototypes. These are paper-and-pencil
30 versions of user interfaces that allow developers to demonstrate the behavior of systems
very early in development. Before any code has been written, developers build prototypes
on paper and test them with real users, simulating the human-computer interaction. Designs
are adjusted and retested several times until a usable solution emerges. When it is time to
begin coding, developers already have an excellent idea of how the system should work and
35 what the users want.
Once the user interface has been coded, the high-fidelity prototype is ready for
online usability testing. The test results are compared with previous tests and routed back
to the developers. If lo-fi prototypes were used earlier, the major design issues have
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already been resolved. Refinements at the "hi-fi" stage should focus on perfecting the
details.
In the later stages of development, usability laboratories can be extremely helpful
for evaluating system design. Usability labs, which can be stationery or portable, rely on
5 videotape and screen capture methods to record hov^ users interact with prototype systems.
Within a few hours of testing, lab administrators can create a highlights videotape of
problems that users encountered. These tapes can be used immediately by developers and
project managers to modify the hi-fi prototype as required. The average usability test
results in 70 to ICQ specific recommendations for improvement.
10 Remote testings or telecasting, is an online variation of the usability lab. This still-
emerging method relies on computer networks to conduct system evaluations. Remote
testing enables developers to test a large number of users efficiently and without incurring
travel expenses.
Reverse Engineering (130)
15 Reverse engineering tools are used to capture specific, relevant functional and
design information from a legacy system for use in a new, client/server system or to
restructure the existing system for improved performance and maintenance.
Interactive Navigation
Developers use interactive navigation tools to identify requirements for a new
20 system from the functionality and design of a legacy system. These tools enable the
developer to interactively and graphically navigate the legacy system, determining the
system's characteristics such as system structure, module flow, flow control, calling
patterns, complexity, and data and variable usage. An alternate form of presentation is
through reports. These provide cross-reference listings or graphical representations of
25 control or data flows.
Graphical Representation
Graphical representation tools are used to display important system information in a
form, which is easier to assimilate. These tools may, for example, produce structure charts,
database schema diagrams, and data layouts. They can also print matrices that indicate
30 relationships between modules and files or between jobs and programs.
Extraction
An extraction tool, in conjunction with a repository population tool, enables the
developer to reuse selected portions of a legacy system. The extraction tool can typically
read and extract information from source code, screens, reports, and the database. The most
35 common information extracted from a legacy system, however, is the data: record/table
structure, indexes, and data element definitions.
In component-based architectures, as systems are often built on top of legacy
databases, some extraction tools allow generation of an object model from the legacy
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database data model (DDL), By understanding the E-R diagram represented by the
database, it is easier to create an efficient persistence framework which isolates business
components from a direct access to relational databases. Caution is required, however, as
the resulting model is at best only partial, as an object model has dynamic aspects to it as
5 well as static relationships, and may not correctly reflect the analysis performed in the
problem domain.
Repository Population
The repository population tool is used to load the information from the extraction
tool into the development repository. These tools convert the information from the legacy
10 system into the syntax of the development tools repository. The extent of the information
loaded into the repository is a function of the Information Model of the development tool
repository. Information that is not represented in the development tool repository cannot be
loaded into the repository.
Restructuring
15 Restructuring tools are not analysis tools like the previous categories of reverse
engineering tools, but design and construction tools. They enable the developer to rebuild a
legacy system, rather than replace it. Examples of this type of process include restructuring
spaghetti code with structured code, replacing GOTO*s, streamlining the module calling
structure, and identifying and eliminating dead code.
20 Data Name Rationalization
Data name rationalization tools extract information on variable usage and naming,
and show relationships between variables. Based on these relationships and user input,
these tools can then apply uniform naming standards throughout the system.
Packaged Component Integration (132)
25 Packaged components are generally third party components that provide ready-
made business logic that is customizable and reusable. These can range from simple
components offering limited functionality (for example, worksheet or charting GUI
components), to components that handle a significant portion of the application architecture
(for example, data access components and firewalls). The advantage of using such
30 components is that they have already been coded, tested, optimized, and documented.
The fact that these components come from third-party software houses does not
always guarantee their quality. In order to minimize the dependency of the final system on
these components (thus reducing the impact of possible changes within the libraries), it is
recommended that wrappers are written to enclose any third-party components. This way,
35 if any changes are made to the internals of the components, only the wrappers would be
affected, allowing the application and architecture code to remain unchanged.
Frameworks may be found on the market which provide generic components for
general business processes such as general ledger, sales order processing, inventory
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management or product distribution. For example, IBM San Francisco offers business
components for the Java environment (see Error! Bookmark not defined. ^
Product Considerations
a) Does the component require significant customization?
5 When selecting components, it is important to get as close a match as possible to
the functionality that is required.
b) Will the vendor guarantee required functional enhancements?
If functionality is missing from a component that cannot be added using the
standard customization tools provided, it is vital to get a vendor guarantee that the
10 enhancements will be made, and to agree on a deadline for these enhancements.
c) Will the vendor guarantee consistency of all interfaces across future releases?
The biggest danger in using packaged components is that the vendor will make
changes to the component interfaces. When selecting packaged components make sure the
vendor guarantees backwards compatibility of all the existing interfaces provided by the
15 component. If this is not the case, it will entail much reworking of the application code in
order to be able to take advantage of (potentially important) upgrades to the component.
d) What are the performance implications of using a packaged component?
Components are often developed with a preferred platform in mind. Components
optimized for one platform may have severe performance problems on others. If
20 performance is a factor (and it nearly always is) ensure that components are designed
specifically for the platform of the target system.
e) Does the component provide standard or proprietary interfaces?
When choosing between packaged components, always choose standard interfaces
over proprietary ones. It will always be easier to customize and interface a component
25 whose language is known to the development team, rather than one which requires
developers to learn a new proprietary language.
Customization
Packaged components usually do not provide the exact fiinctionality that is required
of the target system because they are created by third parties. They may have to be
30 configured in order to behave in the desired fashion. The majority of packaged components
allow one of two methods of customization - either by using standard construction tools
(such as an editor and a C compiler), or by using proprietary toolkits provided by the
vendor.
Implementation Considerations
35 a) What level of support is provided by the component vendor?
It is vital that the vendor provides an appropriate level of support for the component
such as documentation, telephone support, remote support, training, and onsite support. It
might also be necessary to include vendor developers on the Application team. This is
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especially important where component customization relies on proprietary toolkits.
Construction (134)
Construction tools are used to program or build the application: client and server
source code, windows, reports, and database. Along with the onset of Visual Programming,
5 the more traditional form of construction tools have been superceded by Integrated
Development Environments (IDEs) which take all the basic components required for
construction, and integrate them into a single system. Although IDEs are now the
preferred tools for most construction, the components that make up these tools remain the
same - Source Code Editor, Compiler/Linker/Interpreter, Generation Tools and Debugging
10 Tools.
Visual Programming tools, initially associated with the rapid development of the
client-side of client/server applications, have now matured and expanded their domain to
cover entire client/server development (e.g. Visual C++) andNetcentric development (e.g.
visual Java IDEs).
15 IMPORTANT: While IDEs provide the basic components for construction, not all
the functionality offered by the components listed here is provided (for example IDEs do
not generally provide Help text generation or DDL generation). IDEs can usually be
customized in a way that other tools (Version Control, Generation, Repository Access etc.)
can be integrated. It is necessary to plan time for this upfront. It should not be left to the
20 developers to do this individually.
In addition to the standard construction components, a new set of utilities exist
which can help increase the quality of code generated by developers. QA Utilities verify
the quality of constructed code, and its conformance to standards set down for the
development environment.
25 It is important to ensure that developers use tools that are standard to the
development environment. Now that Internet access is a standard facility for developers,
there may be the tendency for people to download their own preferred tools, or upgrades to
standard tools. This not only affects the management of the development environment, but
could easily result in the generation of code that is incompatible with the rest of the code in
30 the development system (for example, consider the effect of developers on the same team
using tools which employ different version of the JDK).
Product Considerations
a) What size is the development team?
When IDEs were first developed, they were targeted at individual developers. This
35 means that support for team development is still not fully mature in the majority oflDEs,
although some are closely integrated with third-party configuration management packages.
When selecting an IDE it is important to ensure that team development is sufficiently
catered for.
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b) On what platform is the system expected to run?
c) Is the target system expected to run on multiple platforms?
The construction tools selected must be able to support the target platform(s) of the
system to be developed.
5 Source Code Editor
A source code editor is used to enter and edit source code for the application.
Complexity varies from simple ASCII text editors to fully integrated editors such as those
provided by Integrated Development Environments. Typically however, they are linked
with a debugger so that coding errors which are identified during compilation can be more
10 easily corrected, since the error and the source code generating the error can be viewed
simultaneously.
Other features include:
• Dynamic syntax checking, improving productivity by detecting errors as
they are made, rather than at compile time.
1 5 • Color coding, which automatically applies different colors to text
depending on its type or context (e.g. comments, variables, reserved words etc.), thus
making the code more readable.
• Automatic layout, which indents code depending on its logical level (e.g.
loops, conditionals etc.)
20 On the whole, these features will help ensure that code developed by the team is
following project standards as opposed to individual programming styles.
Implementation Considerations
a) Web— based development
Due to the tendency of Web-based applications to combine multiple components
25 (such as HTML, Javascript, Java applets, CGI scripts etc.), numerous source code editors
may be required for the development of any single web application.
Product Considerations
a) How well integrated is the editor with other tools in the development
environment?
30 The level of integration with the rest of the environment is an important
consideration when selecting a source code editor. Most editors now come as part of an
IDE, and are therefore fully integrated.
b) Does the editor support multiple languages?
Some IDEs provide support for many languages using the same interface (for
35 example, MS Developer Studio supports C, CHH-, Java, Fortran). This has the advantage of
providing the user with a common approach to coding, regardless of the language being
used.
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c) What features are provided by the editor?
As mentioned in the component description, many features may be provided by the
editor, which can save time and improve code quality, A feature-rich editor is therefore
often worth the investment.
5 d) Is the product easy to learn and use?
The source code editor should be easy to use with little or no training required.
e) Is an acceptable source code editor already provided by the operating system or
other tools in the development environment?
Most Development tools and operating systems already include a source code
10 editor. These source code editors are usually just simple text editors.
J) What is the amount of the application code?
Some source code editors may not have the ability to handle extremely large files
while other tools are built specifically for that purpose.
Compiler / Linker /Interpreter
15 This component is responsible for taking raw code (usually in ASCII format) and
creating the necessary object, library, byte-code, or executable files that become
components of the final system. The actual tools required depend on the development
language, but always consist of one or a combination of the following components:
• Compiler
20 • Linker (preferably incremental - the linker can substitute a new version of
a single module rather than having to re-link the entire program)
• Interpreter, which can speed up the test/correct cycle by eliminating the
compile and link steps
In the majority of Integrated Development Environments, the Compiler, Linker
25 and/or Interpreter are included as an integral part of the system. In addition, the
management of compilation and linking is automated using MAKE utilities which
understand the dependencies between modules in the system. This allows the system to
trigger all necessary re-compilation and re-linking when a module in the system is
changed, thus avoiding the time consuming task of re-compiling and re-linking the entire
30 system.
Product Considerations
a) Is the tool easy to use?
The tool should be relatively easy to use in order to reduce the learning curve.
b) Does the tool support the platform in the development environment?
35 The compiler/linker/interpreter tool must be compatible with all the platforms upon
which the application is being developed. Besides compatibility, tool performance may be
platform dependent.
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Source Code Debugger
A source code debugger is a tool used to unit test a program. This tool provides
information about the activity of programs and systems, enabling automatic analysis and
diagramming, assisted code tracing, editing capabilities, and automatic documentation. The
5 debugger allows the developer to enter program break points and step through a program,
tracking the progress of execution and identifying errors interactively. It is typically used in
conjunction with the source code editor so that coding errors identified can be more easily
corrected, since the error and the source code generating the error can be viewed
simultaneously.
10 Symbolic source code enables easier identification of where errors occur.
Preferably, the debugger should be flexible enough to work with any combination of
compiled modules and source modules. In addition, the debugger should be able to handle
calls to the database and to other modules.
Product Considerations
1 5 a) What testing team factors should be considered when using a source code
debugging tool?
Communication between development team and testing team
A code analysis tool can help the testing team detect unreported changes in the
application code, and therefore help alleviate possible bad communications between the
20 development and testing teams. Thus, bad communications between teams will still
influence positively the decision to use code analysis tools.
Generation
Generation tools include:
• Shell generation
25 • Make file generation
• Window/page generation
• Data Definition Language (DDL) generation
• Data Manipulation Language (DML) generation
• Code generation
30 • Include file generation
• Help text / module description generation
• Trace code generation
Shell generation is the process of generating a starting point for programming.
Shell generation is typically repository-based but can also be based on interaction with the
35 programmer, where the generation utility requests key information about the program, and
generates a starting point as a result of this. Key information (whether obtained from the
repository or through a dialog with the programmer) may include:
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• Data base tables accessed
• Methods and attributes defined (for objects)
• Interface information
Based on this information, the generator selects the appropriate include files and
5 creates skeleton code which may be used as a template for the programmer. This template
may also include audit history for the module and standard code such as error handling.
Make file generation is integrated into the majority of IDEs
Window/page generation (which is an integral component of Visual programming
tools) allows the developer to rapidly design windows and pages using a point and click
10 graphical interface. The relevant source code is subsequently generated from these designs.
The generation of DDL and DML is often hidden from the developer by using data
access functions or objects, provided by a large proportion of IDEs (e.g. MFC, JDK)
Help text and module description generation (not usually provided by IDEs)
analyzes developer's raw code (including comments) and creates descriptions which may be
15 used by developers to understand the contents of modules or objects. This is particularly
useful for component-based development, where methods and attributes of objects may be
automatically documented.
Trace code generation allows the insertion of traces into raw code in order to aid
debugging.
20 Implementation Considerations
a) Does the project want to isolate developers from the technical environment as
much as possible?
b) Are there a large number of developers which makes it difficult to enforce
standards and consistency among developers?
25 Generators are typically used to enforce and maintain consistency throughout an
application. The main benefit is a reduction in training. In addition, the code generated
will automatically be checked for errors, shielding the developers from many complexities
of the technical environment.
c) Are there a large number of developers or a large amount of code?
30 d) Can significant time be saved by creating generators to generate code for reuse
and regenerated code to propagate changes?
Generators are used to leverage the powers of code reuse and code regeneration.
The ability to reuse code reduces both the time and resources required on a project. Code
regeneration eases maintenance issues by propagating changes throughout multiple sections
35 of code.
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Product Considerations
a) Can the generation tool provide code which meets performance requirements?
The code/applications generated by the tools vary in performance. Optimized code
usually results in faster run times. It is important to identify the high priority components
5 that will benefit most from the tool.
b) Should the engagement team build a custom generation tool or purchase an
existing one?
The decision to custom build or to buy available case tools must be determined by
the development team. Most generators are usually custom built because often the
10 technical environment and architecture have custom components that cannot be handled by
a package generator. Associated with custom building are the issues of added cost and
development time, but performance can be closely monitored and changes performed on the
spot.
c) Does the generation tool support the development and execution platforms?
15 The tool must support the current or proposed platform.
QA Utilities
QA Utilities verify the quality of completed code, and that it conforms to project
and international standards. These types of tools include the following:
• Code Analysis - Code analysis provides the objective information and
20 metrics needed to monitor and improve code quality and maintenance (e.g. static
analyzer, documentor, auditor).
• Code Error Checking - Checks code for common errors (e.g. syntax errors,
uninitialized and badly assigned variables, unused variables)
• Code Beautification - Re-formats code in order to make it easier to read
25 and maintain.
• UNIX Portability Checking - Checks compliance with basic portability
standards - particularly with programming standards that ensure portability across
UNIX platforms (e.g. POSIX compliance and OS/2-to-Windows portability).
• 100% Pure Java Checking - Checks that Java code conforms to the 100%
30 Pure Java standard.
Code / Object Libraries
Code and Object libraries provide the developer with ready-made components
(such as GUI components or simple utilities), which may be integrated into architecture or
application code. The advantage of using such components is that they have already been
35 coded, tested, optimized, and documented.
Code and Object libraries may be differentiated from packaged components in two
ways:
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• They contain little or no business logic
• Source code is usually provided (as opposed to the 'black box' component
approach)
That these libraries come from third-party software houses does not always
5 guarantee their quality. In order minimize the dependency of the final system on these
components (thus reducing the impact of possible changes within the libraries), it is
recommended that wrappers are written to enclose any third— party code. This way, if any
changes are made to the libraries, only the wrappers would be impacted, allowing the
application and architecture code to remain unchanged.
10 Implementation Considerations
a) Does the object/library really need to be wrapped?
It may not always be prudent to wrap all third party objects/code that are to be used
on a project. Sometimes the cost involved may outweigh the value of wrapping an
object/code. As objects/code become more complex, with more functions/interfaces, then
15 the value of wrapping them becomes more tangible.
Media Content Creation
As systems become increasingly user-facing, it is important to design user
interfaces that are not only functional, but also engaging and informative. This is especially
true of Internet and kiosk-based systems, where users have a notoriously short
20 concentration span.
This requirement for more attractive user interfaces has triggered the evolution of
media-rich applications, the development of which requires new tools and processes, and
brings with it a whole new set of issues.
Media content can be broken down into three major media types, each with its own
25 set of tools:
• 2D/3D Images/Animation
• Video
• Audio
2D/3D Images/Animation
30 Tools to handle these images range from simple paint packages to highly complex
multi-layered animation graphics packages. The images created by these tools may be
pixel-based (bitmaps) or vector-based, each with their own advantages.
• Pixel-based tools (traditional graphics and image processing tools) offer
more image flexibility especially in terms of color gradation and shading, but produce
35 relatively large files. This format is therefore useful where the use of high-quality
textured images, or highly colored images is important, but where file storage and
transmission is not an issue (where the media content is local to the client application.
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such as in a kiosk).
• Vector-based tools (where the image is defined by formulae rather than
pixel position) offer much smaller file sizes, and dynamic image re-sizing, while
producing excellent print quality, but cannot easily handle shading and color gradation.
5 This format is more appropriate where file size is an issue (web pages).
Video
The high cost and complexity of video production equipment, along with the skills
required to manage the process of video production mean that it is usually outsourced to a
third party. It is important however that the personnel charged with creating video content
10 are an integral part of the Application team.
Audio
The tools required for creating audio content depend on the quality required, and
whether or not the content is original. For 'sound bites' or pre-recorded audio, simple
desktop audio editing applications are adequate. For high-quality original content, a
15 professional recording studio is recommended. Again, if third parties are involved, it is
important that they are fiilly integrated into the team.
For both image and audio, it is possible to purchase re-usable content from
agencies, usually delivered in the form of CD— ROMs.
NOTE: Tools required to store and manage media content (and storage formats)
20 are discussed in Tools - Information Management - Media Content M anagement
Test (136)
Testing applications (client/server or Netcentric) remains a complex task because of
the large number of integrated components involved (for example, multiplatform clients,
multiplatform servers, multitiered applications, communications, distributed processing,
25 and data), which, in turn, results in a large number and variety of Testing tools.
For any large scale testing effort, it is vital to have a repository that is capable of
managing the data required by each of the test subcomponents. The repository should
manage the following entities:
• Test conditions
30 • Test cycles
• System Investigation Requests (SIRs), triggered by a deviation of actual
results from those expected
• Test data
• Requirements
35 Within the repository, the following relationships between entities must also be
managed:
• Test cycle and the system component to which it refers
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• Test condition and the test cycle it belongs to
• Requirement and the test condition that tests that requirement
These relationships make it possible to analyze efficiently the impacts of change
and to document the state of system test. For example, the number of outstanding SIRs per
5 cycle can easily be provided based on these relationships.
In some cases, the mentioned entities and relationships cannot be managed within
the repository, and may have to be modeled outside the repository (for example, in a
teamware database). In this case, the link between the repository and the external tools
must be provided by a judiciously chosen set of procedures and custom integration tools.
10 Component-based development may have an impact on the way in which testing
should be performed.
A number of firm initiatives have conducted considerable research into the field of
testing:
• Year 2000 Testing Contacts and KX Resources
15 • The Technology Library contains further information including tool
evaluations, practice aids, and newsletters
• Integrated Testing Environment Job Aid
Product Considerations
a) When should vendor tools be used in the testing process?
20 Vendor tools are more appropriate when the requirements are totally dependent on
the software development platform. Moreover, when the technology evolves too quickly, it
requires a software organization to handle the changes.
Test Data Management
Test Data Management tools allow developers to create and maintain input data and
25 expected results associated with a test plan. They include test data and archiving tools that
assist in switching between cycles and repeating a cycle based on the original data created
for that cycle.
Test Data Management functionality may be provided by the following tools:
• Test data generation tools - usually generate test data by permutation of
30 values of fields, either randomly or systematically.
• Test design repository tools - facilitate structured design and maintenance
of test cases. They help the developer find existing test cases, cycles, and scripts that
may be appropriate for reuse.
• Data management tools - provide backup and restore facilities for data.
35 They also provide configuration management for multiple versions of data, maintaining
consistency among versions of test data.
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Implementation Considerations
a) What guidelines should be followed when creating component and assembly test
data?
To minimize testing errors when creating component and assembly test data, follow
5 the guidelines provided by the AC Methods job aid for quality test data. Follow the doclink
to view the Tester's View of the Methods .
Product Considerations
a) What testing team factors should be considered when using a Test Data
Management tool?
1 0 Size of the testing team
The larger the testing team, the more benefits will be derived from using a Test
Data Management tool (easier control over the test data for the various testers), a
configuration management tool (easier control over all system configurations and
component versions), and a test plan management tool (easier control over all test cycles,
15 subcycles, their execution statuses, and so on),
b) What engagement factors affect the use of Test Data Management tools?
Risk rating of the engagement
In general, management and planning tools help better address the engagement
risks. A high risk rating for the engagement will affect positively the decision to use tools
20 such as test planning. Test Data Management, problem management, and configuration
management.
Criticality of the engagement
In general, management and planning tools help better manage the engagement and
ensure the timely delivery of a quality system. Therefore, dealing with a highly critical
25 engagement will most likely affect positively the decision to use tools such as test planning.
Test Data Management, problem management, and configuration management.
Test Data Manipulation
Test Data Manipulation tools are used to create original test data and, sometimes, to
modify existing test data. Such modifications may be needed to process a change in the
30 database schema and to correct intermediate results in order to complete a test cycle. Some
test data manipulation tools generate test data very effectively.
Test Planning
A Test Plan consists of several components:
• Test schedule
35 • Test execution tracking
• Test cycles
• Test scripts
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• Test conditions
• Test condition generation
• Input data
• Expected results
5 Test Planning definition and maintenance tools define and maintain the relationship
between components of a Test Plan.
Implementation Considerations
a) What guidelines should be followed when assembly testing the technology
architecture?
10 When deciding which areas of the technology architecture to test, follow the
guidelines provided by the AC Methods job aid for technology architecture assembly
testing. To view the guidelines, follow this doclink to the AC Methods job aid.
b) What guidelines should be followed when creating test scripts?
When preparing to test system components, scripts can be used to verify that the
15 system design specifications are properly implemented. An AC M ethods job aid provides
guidelines for creating product test scripts.
c) What guidelines should be followed when creating test cases for the component
test?
When preparing component test data, the AC Methods checklist helps ensure that
20 all cases are thought up so that component testing is complete. To view the test case
checklist follow the doclink.
d) What components interface with the Test Planning component?
The following components interface with the Test Planning component:
Tools - System Building - Test - Test execution . This interface relates to the
25 actual Test Planning scripts for an automated script playback capability. The scripting tool
can be call directly from the Test Planning tool, which runs it or loads it to the target
platform. More generally, all scripts, and actual results should be linked to the cycles.
Tools - System Building - Test - Test Data Management . Before beginning the
^ cycle, the transfer, load, and refresh of test data can be run from the Test Planning tool.
30 Tools - Information Management - Repository Management Each conversation,
dialog, or executable tested in a cycle can be cross-referenced so that it is possible to know
from the design where a functionality is tested.
Tools ~ Configuration Management . Each conversation, dialog, or executable
tested in a cycle can be cross referenced so that it is possible to know from the design where
35 a functionality is tested.
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e) What is a repeatable test model?
J) What is the importance of a test database?
g) What is the team member retention with a repeatable test?
h) How does a repeatable test model affect testing automation?
5 The following is an overview of the repeatable test model as documented by the
Reinventing Testing Project (RTF).
A repeatable test model consists of tests that can be easily executed by staff who
have little or no experience of the application being tested. A repeatable test script provides
the detailed steps necessary to test the functionality. In addition, the script provides the
10 tester with detailed expected results to verify the operation of the test script.
In order to plan detailed script steps and expected results, it is necessary to know
the test data. A large portion of the test data will typically be contained in test databases.
These databases are called baseline databases, and are critical for a repeatable test model to
exist. Baseline databases can be developed automatically (through execution of online
15 activity in the system), manually (through test data manipulation tools), extracted from
production databases, and so on. Once the baseline databases are selected and created, the
repeatable test model can be developed. As the test model is based upon these databases,
the impact on the test model of any changes to the baseline databases must be analyzed.
With a repeatable test model, most of the team members' knowledge is captured in
20 the tests. Retention of team members is therefore far less critical than with a non-
repeatable test model, and expected costs of training new team members are reduced.
If the application does not change, repeating the tests yields the same results every
time, given the same baseline databases. To remain repeatable, a test model must be
maintained to reflect changes made to the application (fixes, isolated enhancements, new
25 releases, and so on).
To ensure the quality of the application as well as testing efficiency and
effectiveness over time, the tests contained in the test model must be repeatable.
Automation facilitates the engagement's ability to execute a repeatable test model. The
decision to automate the test execution only affects whether the tests will be repeated
30 manually or automatically.
Automating the execution of a non-repeatable test model is a waste of resources, as
the test tool will not be able to re-execute the tests automatically or perform full regression
tests with little effort. Little or no benefits will be achieved from automation.
Product Considerations
35 a) Has RTF (Reinventing Testing Project) developed a test plan management
system?
b) What tools can be used for problem tracking?
The RTF Tools Development team has documented their evaluation summaries of
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the internal test plan management system. The following is a brief description of the
product. To view more detailed information, follow this doclink to the RTF Tools Initiative
document.
The Test Plan Management System is an online GUI application that is used to
5 facilitate the creation and maintenance of test models and to support the planning and
performing of each test stage. Each test model is stored in a central repository accessible
by all team members.
Any test model data must be manually entered in the system or copied from a
previously entered test model.
10 Multiple test models can be accessed or viewed at one time.
In addition, the TPMS provides the capability to research previously entered test
elements through online queries.
A reporting option is planned to produce metrics and management type reports.
c) What testing team factors should be considered when using a Test Planning
15 tool?
Size of the testing team
The larger the testing team, the more benefits will be derived from using a Test
Data Management tool (easier control over the test data for the various testers), a
Configuration Management tool (easier control over all system configurations and
20 component versions), and a Test Plan Management tool (easier control over all test cycles,
subcycles, their operating statuses, and so on).
d) What engagement factors affect the use of Test Planning tools?
Risk rating of the engagement
In general, management and planning tools help better address the engagement
25 risks. A high risk rating for the engagement will affect positively the decision to use tools
such as Test Planning, test data management, problem management, and configuration
management.
Criticality of the engagement
In general, management and plaiming tools help better manage the engagement and
30 ensure the timely delivery of a quality system. Therefore, dealing with a highly critical
engagement will most likely affect positively the decision to use tools such as Test
Planning, test data management, problem management, and configuration management.
e) What application factors should be considered when using a Test Planning tool?
Starting point of automation in the development life cycle
35 If the testing process is to include the use of a test plan management tool, test
model components may be more easily reused across test stages resulting in time and cost
savings during Test Planning and preparation. This obviously has a positive influence on
the decision to use the test plan management tool.
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Test Execution
Test Execution tools support and automate the conduct of system tests. Test
Execution support includes the tools required to:
• Extract input data and expected results from the repository
5 • Load this data into the appropriate Test Execution tools
• Automate the test
Such tools include dynamic analyzers and execution logs. The Test Execution
platform may differ from the development platform if development is conducted in one
environment (for example, Windows NT workstations) and deployed on a different
10 environment (UNIX workstations).
A typical Test Execution tool supports test scripting and playback. These tools
program or record the running of a test plan in an online environment by capturing key
stroke sequences, mouse clicks, and other actions. They then record them in a script. Once
the script is programmed or recorded, it can run repeatedly on the same application,
15 effectively emulating the user. While defining the script takes some time, it saves
tremendous effort when cycles must be re-run, particularly after relatively small changes
(for example, the format of an output field is modified). When the application is modified,
the script can be updated directly without re-entering long sequences of user input. This
makes it easier to prepare for regression testing. Scripts may also be used for stress testing,
20 where a single machine can run scripts simultaneously, emulating large numbers of users.
Implementation Considerations
a) What development approach factors should be considered when automating Test
Execution?
Reinventing Testing Project (RTF) has identified the following factors that either
25 contribute to or take away from the successful implementation of an automated Test
Execution tool. Further detail is available through RTF's Test Automation Strategv -
Version 1.1 . The type of system development approach to be considered is:
• Maturity of the testing process
• Number of technical platforms
30 b) What testing tool factors should be considered when automating Test Execution?
RTF has identified the following factors that will either contribute to or take away
from the successful implementation of an automated Test Execution tool. Further detail is
available through RTFs Test Automation Strategv - Version 1.1 . Testing tool factors to be
considered include:
35 • Cost of testing tools (including training and support)
• Cost of test model maintenance (including test data)
• Testing tool ability to work with GUI application builder
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• Vendor support capability
• Proximity of vendor support personnel to the project site
• Availability of tool support person on the testing team
c) What engagement factors should be considered when automating Test
5 Execution?
RTF has identified the following factors that will either contribute to or take away
from the successful implementation of an automated Test Execution tool. Further detail is
available through RTFs Test Automation Strategv - Version 1 .L Engagement factors to be
considered include:
10 • Fixed fee engagement
• Risk rating of the engagement
• Criticality of the engagement
• Risk of not automating testing
d) What application factors should be considered when automating Test Execution?
15 RTF has identified the following factors that will either contribute to or take away
from the successful implementation of an automated Test Execution tool. Further detail is
available through RTF's Test Automation Strategv - Version 1.1 . Application factors to be
considered include:
• Application life expectancy
20 • Number of planned releases
• Use of application software packages
• Frequency of upgrades in application software, system software, and
hardware
• Stability of the application
25 • Starting point of automation in the development life cycle
• Scope of the test automation
• Number of passes per test cycle
e) What testing team factors should be considered when automating Test
Execution?
30 RTF has identified the following factors that will either contribute to or take away
from the successfiil implementation of an automated Test Execution tool. Further detail is
available through RTF's Test Automation Strategv - Version 1.1 . Testing team factors to
be considered include:
• Willingness and ability to maintain the test model
35 • Communication between development team and testing team
• Control over the test environment
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• Acceptance of automation (attitude toward change)
• Experience with test automation
• Experience with the testing process used on the engagement
• Experience with specific testing tools
5 • Anticipated learning curve with automated testing tools
• Experience with the technology used on the engagement
• Size of the testing team
Performance Management
Performance Management tools support application performance testing. Owing to
10 the large number of components in modem systems, performance modeling can be a
complex task and requires tools to effectively manage the process. These tools monitor the
real-time execution and performance of software. They help to maximize transactions and
response time to the end user. They are also useful in identifying potential bottlenecks or
processing anomalies.
15 In the case of Internet-based applications, as the Internet is not a controlled
environment, performance management tools can only measure performance within the
domain of the controlled environment (up to the Internet Service Provider), However, in
the case of intranet-based systems, where the environment is controlled from end-to-end.
Performance Management may be performed across the entire system.
20 Emulation
Emulation tools emulate components that are part of the target environment but are
not in the development environment. These emulation tools include:
• Target platform architecture components, including both custom
infrastructure and system software products such as an X-window emulator on a PC to
25 access a Unix platform.
• Stubs, which emulate subroutines in a minimal fashion.
• Harnesses and drivers, which call up a module and emulate the context in
which the module will be called in the production environment.
Test Result Comparison
30 Test Result Comparison tools are utilities used to compare expected and actual
results. These tools outline the differences between actual and expected results by
comparing files and databases. Most of these tools offer functionality such as byte-by-
byte comparison of files and the ability to mask certain fields such as date and time.
Test Coverage Measurement
35 Test Coverage Measurement tools are used to analyze which parts of each module
are used during the test. Coverage analyzing tools are active during program operation and
provide comprehensive information about how many times each logic path within the
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program is run. This Test Management and Quality Management tool ensures that all
components of an application are tested, and its use is a vital and often overlooked
component of the test process.
SIR Management
5 SIR Management Tools help track each system investigation request from problem
detection through documentation resolution.
OPERATIONS ARCHITECTURE FRAMEWORK (1300)
Operations Architecture
As shown in Figure 14, the Operations Architecture is a combination of tools,
10 support services, procedures, and controls required to keep a production system up and
running efficiently. Unlike the Execution and Development Architectures, its primary users
are the system administrators and the production support personnel.
The following databases provide information on the Operations Architecture and
15 list requirements and current tools solutions for the managing of the various Operations
Architecture areas. All areas of the Operations Architecture have the appropriate MODE
sub-functions listed, along with requirements for management solutions and current tools
that assist and automate management solutions.
Cautions and Caveats
20 Unlike the Application and Execution Architectures, every function of the
Operations Architecture must be reviewed. All components of the Operations Architecture
are integral to the successful management of a distributed environment. Any processes,
procedures, or tools developed or chosen as an operational management solution for a
specific operational area must be able to integrate with any existing or planned process,
25 procedure, tool solutions for other Operations Architecture areas.
While the tools data and suite information was current and accurate at the time of
publication of this document, there is no guarantee that that information is still accurate, or
that the vendor is still in business. It is imperative that the following actions are taken when
30 choosing a tool-based solution:
determine that the vendor is still a viable candidate (i.e. still in business, good
recent product support track record)
verify the version of the tool to be installed will still provide the management
35 solution required
verify the tool(s) will integrate with existing tool(s)
verify the tool(s) will integrate with other planned tool(s) acquisition(s).
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General Implementation Considerations
Some key design decisions are specific to the design of certain functions, while
others apply more generically across every function. This section presents the generic key
design questions. Key design decisions that relate specifically to a function are presented in
5 each of the subsequent functional grouping chapters.
The following generic decisions impact need for specific components:
When and how frequently, does the function need to be performed?
The timing and frequency of each function may have an effect on its staffing, the
10 tool(s) required, the capacity of systems and networks needed to support the tools.
Who will be performing the function?
Responsibilities need to be defined for each fiinction, as the set up tasks will differ
dramatically depending on whether the function is to be performed in-house or outsourced.
In addition, the individuals who will be performing the function should be involved in the
1 5 design of how the function will be performed.
Will the function be centralized or distributed?
Central control will mean a stronger focus on remote management, with skills
focused in one place, whereas distributed control will mean skills will need to be more
widely dispersed. Distributed functions may require less powerful tools due to their
20 placement.
Will the solution be manual or automated?
A number of functions could be managed manually, especially if the functions are
not directly related to the systems, or are performed infrequently. Many of the functions,
however, require an interface to the systems, or involve large volumes of data.
25 Is integration with any existing systems required?
If integration with existing systems is necessary, hooks may need to be built into
both the existing and new systems.
What are the data sharing requirements with other functions?
Integration between functions will either require a tool capable of supporting both
30 functions, or hooks between tools.
What are the expected data / transaction volumes, and how much historical data
will be required?
Volumes of data, both real-time and historical, will have an impact on both system
and network sizing.
3 5 What platform / protocol constraints exist?
Platforms and protocols are central both to the overall approach as well as the
selection of tools to support the individual functions.
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Is the intention to use tools or to custom develop some or all of the functions?
The choice of tools in the marketplace is increasing, but custom development may
still be required. This decision will impact how the function is established initially as well
as its ongoing support and maintenance.
5 Will existing data/databases be used, or will data be built from scratch?
Many of the functions may already exist within the clients environment. As such,
data which is necessary for supporting the system may already exist. If so, it must be
determined whether or not the existing data can be used, either in its original or a converted
state.
10 General Product Selection Considerations
It is important to note that there may be requirements which cannot be met by any
tools. In this case, in-house development may be an alternative. This approach is likely to
be more expensive, however, and more difficult to support the long term, and thus should
usually be avoided if possible. Were possible, the tool with the closest match should be
15 purchased, and customized to meet the necessary requirements.
Some additional considerations are outlined below:
Central vs. Distributed Control
The answer to this question may limit the selection of tools as not all tools are
20 capable of controlling functions remotely. If control is centralized, technical expertise at
distributed sites will not be necessary. This may, however, mean that a more complex,
expensive tool is required.
If control is distributed, technical expertise will be needed at remote sites, and there
25 is the potential for problems with the interfaces between tools.
Platform Constraints
Systems-based tools (e.g., for monitoring or control purposes) will clearly be
platform dependent. Functional tools (e.g., to support Incident Management or Change
Control), however, can run independently from the systems tools and may only need to run
30 on a limited number of systems.
Integration with other Functions
Integration between some of the functions is highly desirable. Integrated toolsets
offer integrated fiinctionality across a number of functions, thus simplifying the interfaces
between them (e.g., data will automatically be consistent across functions). Purchase of
35 such tools will help reduce costly customization or the development of add-ons.
It is important to understand the level of integration between products, however,
before buying them. Integration varies from vendor to vendor and can mean anything from
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simply having an icon on a desktop to fully integrated applications and data. In addition,
integrated toolsets are likely to be stronger in some functions than in others, and may
preclude selection of the best possible tool for every function.
Anticipated Volume of Data & Transaction Throughput
5 Understanding the anticipated volumes will provide key input to sizing the system.
Predicted business volumes stated in the SLA should be used to help determine the
appropriate sizes for machines, databases, telecommunications lines, etc. Alternatively,
experience from previous engagements can provide useful input.
Number of Users for the Tool
10 Users may not be limited to the number of support personnel accessing a tool alone.
Keep in mind that users of the tools may either be support personnel, vendors, users, senior
managers, etc.
Some tools will only support a limited number of users, or may only support users
15 within certain geographic boundaries. It is important to understand if there are any such
limitations prior to purchasing a tool.
In addition, the number of users will affect the budgetary requirements for the
purchase of a tool, particularly as they relate to hardware and communications
20 requirements.
Level of Support Required
If third party software is to be purchased, suppliers must be assessed on their ability
to ensure the availability, reliability, performance and user support for these tools will be
sufficient to deliver the appropriate levels of service to the users of the system. It may even
25 be necessary to visit reference sites for the vendors to determine whether these
requirements are being met.
PRESENTATION (1302)
The presentation component provides the interface between the manager(s) of the
30 system and management data generated by the system. Data can be manipulated for various
forms of output. By integrating the operational architecture it is possible to reduce the
number of front-end interfaces required. Commonly, the presentation component uses a
GUI front-end interface. This component is also responsible for real-time and historical
report generation.
35 EVENT PROCESSING (1304)
Event processing manipulates the raw data obtained in the event/data generation
layer into a more workable form. This layer performs functions such as event filtering, alert
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generation, event correlation, event collection and logging, and automated trouble ticket
generation. Event processing routes the processed infonnation on to either the presentation
or management applications layers. Again it is important to consider the interface of the
event processing component with the other components of the operational architecture.
5 Help Desk (1306)
As with End User Services in the centralized model, the Help Desk is the single
point of contact for all end users. This unit has end-to-end accountability for all user
incidents and problems regardless of whether or not it has the resources to fix them (i.e., it
10 must contact the necessary technical resources in either IS organizations to ensure the
incidents and problems get resolved).
Incident Management (1308)
Incident Management provides the interface between the users of the system and
15 those operating and maintaining the system when an incident arises. Incident Management
is responsible for:
• receiving incidents from users
• informing users of known work-around where possible
20 • ensuring that support personnel are working on an incident
• keeping users informed of incident resolution progress
• ensuring that incidents do not get lost as they are passed around support
teams
• informing users when incidents have been resolved and ensuring resolution
25 was complete.
In addition, Incident Management is responsible for ensuring that outstanding
incidents are resolved in a timely manner. As part of Incident Management, incidents are
reviewed, analyzed, tracked, escalated as necessary, and resolved.
30 Failure Control (1310)
Involves the detection and correction of faults within the system whether they be
minor (e.g., workstation is down) or major (i.e., a disaster) has occurred.
Fault Management (1312)
35
When a negative event has been brought to the attention of the system, actions are
undertaken within Fault Management to define, diagnose, and correct the fault. Although it
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may be possible to automate this process, human intervention may be required to perform at
least some of these management tasks.
EVENT / DATA GENERATION (1314)
5 Event/data generation interacts with all the managed components in the execution
and development environments in order to obtain the required management information.
This component also interacts with the physical environment, managing hardware, and
supporting infrastructure components of the operational architecture to obtain management
information. It is important to consider these interfaces when choosing event/data
10 generation components. Agents and proxies are two common types of event/data
generation tools. Often these tools use broadcasting and trapping methods to capture
information. Application generated events from vendor packages and user applications also
fit into this component of the operational architecture.
Monitoring (1316)
15
Verifies that the system is continually functioning in accordance with whatever
service levels are defined.
Event Management (1318)
20 An event is an electronic message generated by any component (e.g., application
software, system software, hardware, etc.) in the system. Event Management receives, logs,
classifies and presents event messages on a console(s) based on pre-established filters or
thresholds.
MANAGEMENT APPLICATIONS (1320)
25
Management applications are those tools which are used to manage the system.
Most of the MODE functions tie directly into this component. The management
applications component ties in directly with the integration platform component as the
management applications tools must comply with the standards set by the integration
30 platform. For example, if the integration platform is HP OpenView, then the management
applications must be HP OpenView software (API, SNMPx) or hardware (card) compliant.
Management applications receive data from the event/data generation, event processing,
and repositories components and then send data to the presentation or repositories
components. Management applications tools include capacity planning tools, performance
35 management tools, license management tools, remote management tools, systems
monitoring tools, scheduling tools, help desk tools, etc.. Some Enterprise Management
tools even poll the event/data generators for information but these options may impact
network performance. Web Server management is been introduced as part of the
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management operations framework. As Corporate Internets and Extranets implement Web
based software products to sell and advertise business services, corresponding
administrative, security, event notification and performance requirements must be
performed similarly for the companies web based system. The critical path issues for Web
5 based server software is typically security and performance based levels of service.
Help Desk (1322)
As with End User Services in the centralized model, the Help Desk is the single
point of contact for all end users. This unit has end-to-end accountability for all user
10 incidents and problems regardless of whether or not it has the resources to fix them (i.e., it
must contact the necessary technical resources in either IS organizations to ensure the
incidents and problems get resolved).
Implementation Considerations
The following are functional requirements for Incident, Request and Problem
15 Management.
Logging Incidents /Requests
Call logger should be presented with a unique incident / request identifier, and
should be able to enter a free format description as well as the key data items specified in
the data requirements section. Data and time stamps should be automatically registered and
20 Incident and Request management staff should have access to display all open incidents and
requests as well as the incident/request history for a specific user location.
Progress Incidents /Requests
Facilities should be given to provide a free format update of actions and
investigations, to assign the incident / request to a support group, or to escalate the incident.
25 Date and time stamps should be attached to each action and the full incident/request history
should be available to the person performing the update.
Re— assign Incidents / Requests
Possible for incidents and requests to be assigned to different support groups, if
further investigation is required.
30 Close Incidents / Requests
Incidents and requests should be closed with a date and time stamp to help trend
analysis and service level reporting.
Log Problems
Problems can be logged both as a result of one or more incidents, or through
35 proactive monitoring of the system, before any incidents have been logged.
Support the functions either centrally or on a distributed basis
If the Incident, Request and Problem management fiinctions are to be centralized,
these fiinctions need to be able to control and monitor incidents and problems, but other
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functions should be able to gain access to input detailed technical information or progress
updates. If Incident and Request management is distributed, it is recommended that remote
locations are given access to the central system, rather than operating local systems. (Some
problem areas are local sites operating on different time zones and standardizing escalation
5 procedures from local sites.)
Facility for auto- logging incidents
Event / alert based automatic logging of incidents to provide proactive management
of incidents and problems by informing Incident management of issues before the user logs
a call. This facility is conceptually desirable, but is only likely to be available if the
10 Incident management functionality is part of the monitoring tool. The costs of building
hooks between tools and applications are likely to prove prohibitive. In medium or large
environments, this facility is extremely desirable, and must be built into the requirements.
Assess incidents automatically, based on previous experience and rules
Knowledge and case based incident management systems are becoming prevalent in
15 the market place, and are built into Help Desk offerings. Use of these systems can help
improve the responsiveness and reputation of the entire organization. (Case based tools
will require building up over time.)
Incident Management
Incident Management provides the interface between the users of the system and
those operating and maintaining the system when an incident arises. Incident Management
is responsible for:
• receiving incidents from users
• informing users of known work— around where possible
• ensuring that support personnel are working on an incident
• keeping users informed of incident resolution progress
• ensuring that incidents do not get lost as they are passed around support
teams
• informing users when incidents have been resolved and ensuring resolution
was complete.
In addition, Incident Management is responsible for ensuring that outstanding
incidents are resolved in a timely manner. As part of Incident Management, incidents are
reviewed, analyzed, tracked, escalated as necessary, and resolved.
35 Implementation Considerations
Will users be given access to the Incident Management system?
Users will benefit by gaining up to date information on the progress of incidents.
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and could be given the facility to log incidents directly, which would relieve some of the
load of the Incident Management function. However, this adds complexity to the solution,
and increases communications requirements / costs.
Which support personnel will be given access to the Incident Management system?
5 Support personnel would be able to enter progress against incidents without
contacting Incident Management. The ability to scan incidents may also aid the Problem
Management function. However, this adds complexity to the solution, and may increase
communications requirements / costs.
How many incident support levels will be in place, and how expert will the Incident
10 Management Junction be?
This will depend on the knowledge and experience at the user locations. The level
of technical expertise within the Incident Management function will drive the systems
requirements.
Problem Management
15
Problem Management utilizes the skills of experts and support groups to fix and
prevent recurring incidents by determining and fixing the underlying problems causing
those incidents. Within Problem Management, related incidents are correlated to problems
and ultimately to order or change requests. All problems are logged, tracked and archived.
20 Where possible, work-around are determined and information regarding the work-around
is distributed to the appropriate support personnel and user communities.
Implementation Considerations
Will problems be automatically logged or only by manual association with an
incident?
25 Automatic logging of problems will require interfaces to be built with the Event
Management system, and perhaps the execution architecture for application errors.
Request Management
Request Management is responsible for coordinating and controlling all activities
30 necessary to fulfill a request from either a user, vendor, or developer. Request Management
determines if and when requests will be fulfilled through interaction with the particular
function(s) impacted by the request. Following such interaction, accepted requests will be
planned, executed, and tracked.
35 Implementation Considerations
Will users be given access to the Request Management system?
Users will benefit by gaining up to date information on the progress of incidents,
and could be given the facility to log incidents directly, which would relieve some of the
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load of the Incident Management function. However, this adds complexity to the solution,
and increases communications requirements / costs.
Failure Control (1324)
5 Involves the detection and correction of faults within the system whether they be
minor (e.g., workstation is down) or major (i.e., a disaster) has occurred.
Fault Management
When a negative event has been brought to the attention of the system, actions are
10 undertaken within Fault Management to define, diagnose, and correct the fault. Although it
may be possible to automate this process, human intervention may be required to perform at
least some of these management tasks.
Disaster Recovery
In the event of a significant system failure. Disaster Recovery processes will be
invoked to re-route the system resources to a secondary, stable configuration until the
primary resources can be restored. Within a distributed environment, disaster recovery
must account for differing levels of disaster whether at a central or distributed site(s).
Implementation Considerations
What is a disaster?
The way in which a disaster is defined will be dependent upon which resources are
critical to the business. For example, a data center failure may be critical for one client
whereas a server failure for another is more critical.
How quickly will disaster recovery be required for each service?
This will be defined in detail within the SLA, but high level service recovery
targets must be understood, so that high level recovery plans can, in turn, be produced.
Recovery
Recovery manages all of the actions needed to restore service delivery after a
30 system failure. With critical business applications being rolled out on distributed
technologies, the recovery of these systems must be easy, quick and efficient to guarantee
availability of core business systems as expressed in the agreed service levels and
operational levels.
Implementation Considerations
35 What are some of the limitations that are encountered?
Recovery capabilities span the range fi:-om those required to bring up a device after
it has failed to those required in the event of a major disaster. With critical business
applications being rolled out on distributed technologies, the recovery of these systems
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must be easy, quick and efficient. Loss of the system for even a short period of time can
result in significant financial losses to a clients business.
Hardware Maintenance
5 Hardware Maintenance maintains all of the components within a distributed system
to protect the investment of the organization. Generally agreed upon in the SLAs,
maintenance contracts are carried out, monitored and recorded for each asset as appropriate.
Administration (1326)
Rilling and Accounting
10
Billing & Accounting gathers the necessary accounting information for calculating
actual costs, determines chargeback costs based on pre-defined algorithms and bills users
for service rendered.
15 Billing & Accounting also makes payments to service providers for services and
equipment provided in accordance with agreed upon SLAs. As part of this payment process
Billing & Accounting reconciles bills from service providers against monitored costs and
SLA/OLA violations.
Systems Management Planning (1330)
20 Capacity Modeling and Planning
Capacity Modeling & Planning ensures that adequate resources will be in place to
meet the SLA requirements, keeping in mind operational requirements which may require
additional capacity. Resources can include such things as physical facilities, computers,
25 memory/disk space, communications lines and personnel. Through this component,
changes to the existing environment will be determined, modeled and planned according to
the necessary requirements.
Production Control (1332)
30 Ensures that production activities are performed and controlled as required and as
intended.
Production Scheduling
Production Scheduling determines the requirements for the execution of scheduled
35 jobs across a distributed environment. A production schedule is then planned to meet these
requirements, taking into consideration other processes occurring throughout the distributed
environment (e.g., software and data distribution, remote backup/restoration of data.) It
plans the production workload and then submits the tasks to the system in the proper
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sequence, stops processing upon detecting a failure, provides on-line task tracking and
workload forecasting.
Implementation Considerations
In a distributed environment are processes across entire or multiple platforms and
5 systems?
Processes may be taking place across the entire system on multiple platforms in
either a parallel or a serial fashion. Batch dependencies may be required across platforms,
and muhiple time zones may be involved. In addition, many non-mainframe based
products do not provide production scheduling capabilities with the platform. Therefore,
10 one can see that scheduling processes across a distributed environment can be quite
complex, requiring significant management effort to ensure that processes occur
appropriately.
How many schedulers will be used to control the schedules?
• Depending on how the function is to be controlled, and how many
15 platforms are to be supported:
• Local control of a single device with a single scheduler (typically
mainframe)
• Remote control of a single device with a single scheduler
• Remote control of multiple but independent devices with a single scheduler
20 Product Considerations
What is the Intended use of the tool?
The component plans for the production workload and then submits the tasks to the
system in the proper sequence, stops processing upon detecting a failure, provides on-line
task tracking and workload forecasting. In addition, requirements are determined for the
25 execution of scheduled jobs across the environment.
Does and existing component satisfy this requirement?
Production Scheduling contains specific requirements that addresses a distributed
environments complexity of multiple platforms and system placed in either a parallel or
serial fashion.
30 What other utilities are available with the tool?
The tool should provide control dependencies to schedule workloads such as:
Task/job sequence enforcement, external/internal event driven. Graphically displays work
flow from the scheduling criteria and includes such information as task/job name, task
description, average run time and resource requirements. Allow clients to define user
35 schedules that can be based on predecessor events in the production environment.
Reporting capabilities for forecasting, simulation and analyzing scheduled workload.
Monitoring capability of past, present and future workloads as well as tracking of current
workload termination notification of normal or abnormal completion.
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Does the development team have any prior experience with the tool?
The development should be able to identify the component linkages as well as the
functional requirements critical for successful operational integration of the tool into the
observed environment.
5 What level of the component is required?
Due to the complexity of a distributed environment one must account for the
processes taking place across the entire system on multiple platforms in either a parallel or
a serial fashion. Therefore, production scheduling capabilities across platforms is critical
as well as the ability to rerun / restart from single point of failure or provide checkpoint
10 restart- ability.
Does the tool provide facilities to add color to MODE architecture model?
• Communication with Performance management component to forecast
resource requirements, such as near line storage, DASD space, and etc..
• Interface with the Configuration management component facility to obtain
15 configuration data in workload forecasting.
• The scheduler will communicate with other schedulers on other systems to
run a in a close relationship with the ability to support multiple heterogeneous
platforms: MVS, Windows NT, UNIX, and AS/400.
• Communicates with Backup / Restore to identify scheduling constraints due
20 to backup and restoration functions.
• Communicates with the recovery facility to dynamically switch workload
from one processor to another in the event of a system failure.
Print Management
25 Print Man^ement monitors all of the printing done across a distributed
environment and is responsible for managing the printers and printing at both central and
remote locations. The purpose of a print architecture is to make formats applications
independent, so that the only thing applications need to do is obtain the data.
30 Print Architecture offers:
• It provides independence from printer devices and languages
• It makes it easy to develop and maintain report
• Paper consumption may be reduced
• Reports arrive to the addressee more quickly
35 • It is possible to sign reports electronically
• Confidentiality is improved as people can only see information that can be
accessed with their security level.
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Implementation Considerations
What types of printers will be required (e.g., laser, impact, inkjets, etc.)?
The types of printers will be dictated by the business requirements. The types of
printers, will in turn, determine what tools can be used to manage printing may or may not
5 be required.
Where are the printers going to be located?
The business will help determine where the printers need to be located based on
where/ when printing needs to take place. In some instances local printing may or may not
be required.
1 0 What spooling facilities will be available ?
If spooling is available, printing can be handled as a background task, freeing up
system resources for use on— line.
Will review before print facilities be provided?
If these facilities will be provided, all material will not need to be printed. If the
15 material does need to be print; however, the location of the printing must be determined,
and the system must be able to forward the printing on to the appropriate location.
Will printing of large documents be necessary?
Large print jobs may utilize system resources considerably (e.g., WAN, LAN,
printer), and may tie up the printing queue for other individuals. This type of printing
20 should be performed in off-hours or delayed to avoid contention for the printer during
business hours.
What are some limitations that may he encountered?
In a distributed environment the sizing and routing of print traffic is more complex.
With new systems being installed, only educated guesses about how and when printing will
25 take place can help determine print routing functionality. In most cases, some adjustments
will be required to the print routing algorithms post-rollout to reflect the printing reality.
Product Considerations
What is the intended use of the tool?
Controls report production and distribution form the moment the report is created to
30 the time the printed report is dropped in the end-use s mailbox (electronic, paper,
microfiche, etc.)
What other utilities are available with the tool?
• Provide queue management and ability to prioritize.
• Provides a full featured on-line viewing system.
35 • Provides for the archival of reports in a compressed format first on disk, for
a user specified time and then to tape of optical.
• Process reports in due— out-sequence.
• Automatic report balancing and archives the balancing reports for easy
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auditor review.
• Provides a common output spooling and printer device control capability
across the network.
• Provide report reprint capability, avoid reruns in lost report situations.
5 • Provide centralized management of report setup and delivery information
How well does the tool integrate with other tools in the environment?
• Interfaces with the performance monitoring to identify bottlenecks in the
distribution process
• Notifies the service level management facility of any missed service
10 commitments.
• Communicates with the documentation management facility to obtain the
distribution information, media type and service level commitments.
• Communicates with the recovery management facility to delete reports that
will be recreated.
15 • Communicates report volumes to the resource consumption management
facility.
Does the tool provide support for specific areas?
Support multiple printer types as well as report delivery across them. This includes
printer format translation (PCL, Postscript, etc..) and code translation.
20 Any other specific ftmctional requirements?
Output management issues require leverage of existing print capability, local and
remote printing, and distribution management through a software package or an equivalent
alternative.
File Transfer & Control
25
File Transfer and Control initiates and monitors files being transferred throughout
the system as part of the business processing (e.g., nightly batch runs). File transfers may
occur between any two or more devises within the system.
System Startup & Shutdown
30
System Startup and Shutdown performs the activities required for the startup or
shutdown of the entire system (e.g., hardware, applications), or portions of the system
depending upon the identified requirements. Within a distributed environment, the system
includes both centralized and remote resources.
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Implementation Considerations
Will devices need to be shutdown / started remotely as well as be automatic or
manual (e.g., using scripts, embedded in schedule)?
If expertise will not be available locally, it is imperative that remote control of the
5 startup / shutdown processes be available. The presence of skills, the availability of tools,
and the uniqueness of the application / environment will dictate whether or not startup /
shutdown is automatic or manual.
How will clean shutdowns of all processes be ensured?
If a system failure takes place, it is important that all processes be shut down well,
10 to ensure that the processes can be re-started and that the integrity of the information will
be maintained.
In what order will hardware and software components be started / shutdown?
Based upon the technical requirements of the system (e.g., databases should be
started before applications) as well as defined service levels (e.g., one particular application
15 is critical and must be started first), the order of startup / shutdown will be determined.
Are periodic re— boots required (e,g,, to clean up memory)?
If this is necessary, automatic/manual startup/shutdown of the system should be
scheduled (e.g., UNIX systems require this).
Analysis of the system and other resources need to be addressed?
20 The state of an application, the system or a specific resource must be known at all
times. Common activities performed as part of Startup / Shutdown include:
• logging on
• virus checking
• version checking
25 • process initiation / completion
• housekeeping
• logging off.
Some limitations that may need to be taken into account?
System startup and shutdown is no longer confined to a centralized site. The
30 system is distributed, in effect creating islands of technology which may be started or
shutdown with the flip of a power switch on a workstation. Processes which rely on the
system being up and running (e.g., software and data distribution) may fail if a user has
switched his/her machine off before leaving for the evening. Such failures will impact the
following days processing capabilities and must be accounted for either by the system or
35 through training. In addition, controlled machine startup may be required to initiate tasks or
to perform activities such as configuration checking or virus detection/correction.
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Mass Storage Management
Mass Storage Management involves those activities related to the handling of
various types of centralized and distributed storage media including the monitoring and
5 controlling of storage resources and their usage.
The objectives of Mass Storage management are to: implement the top level of
storage management, control the usage level of each storage device in the distributed
environment, control all storage related naming standards and placement details in the
10 installation.
Mass Storage Management is more complex in a distributed environment than in a
centralized environment since many more storage options become available, as storage may
take place centrally or on a distributed basis and the number and characteristics of storage
15 devices have increased.
Implementation Considerations
What DBMS will be used and what utilities does it have?
The DBMS will often provide much of the necessary storage management
functionality; this decision impacts further requirements.
20 Will databases be distributed or centralized?
Storage management for centralized databases will clearly be simpler then for
distributed databases were a global view becomes more difficult to obtain, and where data
consistency becomes more of an issue.
What media types will be used?
25 It is essential that the types of device to be used are understood before detailed
decisions are taken.
Distributed Environmental Constraints?
The allocation and sharing of storage media is more difficult to plan since users are
distributed. Mass Storage Management is more complex in a distributed environment as
30 many more storage options become available; storage may take place on disks, tapes, etc.
Either centrally or de-centrally.
Product Considerations
What is the Intended use of the tool?
Control and manage the data storage environment including any/all media, disk,
35 optical and tape.
Technology's ability to support the Operating Systems within the distributed
environment?
The tool must run in the platform selected in order to control usage of disk space,
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main memory, cache, etc. In addition, determining the space available helps control the
device usage, storage capacity
What other utilities are available with the tool?
• Continuous analysis of the data storage environment to insure optimum
5 storage utilization and location.
• Eliminate fragmentation by reordering files
• All storage devices managed independently of their type and location in
order to avoid storage problems, bottlenecks, etc.
Should the tool provide specific component functionality ?
10 The tool should take into account the complexity of the distributed environment as
well as the flexibility of the scenario that storage may take place centrally or on a
distributed basis and the number and characteristics of storage devices have increased.
Does the tool provide support for the databases selected for the distributed
environment?
15 Additional facilities may be required, even although databases typically have built-
in utilities or tools to perform these function and do not generally require a separate tool.
Does the tool provide facilities to add color and support linkages to MODE
architecture model?
• Communicates with the Performance management facility to identify any
20 performance problems and relocate data based on the performance analysis.
• Communicates with operation system error logging and/or the Operations
Automation to identify any potential media or hardware failures and relocate data,
automatically files a problem log for corrective action.
• Interface with the Capacity / Resource manager to create a definable
25 resource forecast.
Backup / Restore Management
Backup and Restore Management considers all of the back-up and restorations that
need to take place across the distributed system for master copies of data. Depending on
30 the need, these processes may occur centrally or remotely.
Implementation Considerations
What data/ files will be backed up?
Files that are either unique, store site specific data or are highly volatile should be
backed up. This will help ensure that important, business critical data will not be lost in the
35 event of a system failure or disaster. All files do not necessarily need to be backed up as
each file backup utilizes storage space and ma impede the performance of the system
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What will be the frequency of the backup, the number of copies made, and the
number of generations maintained?
The critically and volatility of the information will determine the frequency of the
backups and whether or not multiple copies of the data are maintained centrally / locally. In
5 addition the stability of the system needs to be considered as well as any performance
impacts of backing up the data as required.
The number of generations maintained will be dependent on the disaster recovery
policies in place as well as any government / regulatory controls in existence.
10 How will the integrity of a backup or restore be ensured?
Because databases can be located throughout the distributed environment, care
must be taken to ensure that data integrity is maintained. This may mean storing the master
copy of data centrally, or synchronizing the commits of updates of the information
appropriately.
15 Will the data be backed up centrally, locally, or at an alternate site?
Centrally located devices will require the use of both LAN and WAN bandwidth to
backup the data, and restoration of the data will be slower. This may be hard to achieve if
there are numerous devices in the system. Central location, however, will ensure that
backed up data will be stored in one place, potentially making recovery from a system
20 failure or disaster recovery easier as well as centrally less expensive to maintain. In
addition, central control over the backup / restore process will require expertise at a single
location whereas local control will necessitate expertise in multiple locations. Alternate
site control may provide the best mix of central / local placement of skills.
25 In contrast, local devices do not utilize the WAN bandwidth, and typically provide
faster data restoration. Local devices, if available, may be more expensive and may require
local expertise.
Alternate site backup combines both of the strategies in that WAN bandwidth to the
30 central site is not over-utilized, and restoration of the data can happen fairly quickly as well
as securing information as information is stored in multiple locations.
Will copies be held at multiple locations?
Backup copies may need to be stored at multiple locations for security purposes
(i.e. in the event of a system failure, or disaster, some backup copies may have been
35 destroyed.)
Product Considerations
What is the intended use of the tool?
Provide services and facilities to enable the client to effect timely and accurate
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recovery in the event of an interruption to processing capability.
What other utilities are available with the tool?
• The backup product should have fundamental management capabilities.
Automatic restore, unattended operation and command line processing of the product
5 should be available. Basic tape functions such as cataloging, internal labeling,
initialization, certification, scratch protection and write protection are musts.
• Performs automatic backup of data files on site standards.
• Designed along the lines requester-server model; more specifically the tool
runs on the server machine and acts as a shared resource for data access, integrity,
10 security recovery, etc..
• Full auditing capability should be present for backups as well as error
detection and notification that a backup has failed should be available.
• Provide full and incremental backups, partial restore, and compression /
decompression.
15 • Capable of managed and systematic restore process.
How well does the tool integrate with other tools in the environment?
Backups are typically embedded into production scheduling with restores on an ad
hoc basis. Backup / Restore needs to ensure that a file can be only backed up / restored by
users with the right access level. Furthermore, file transfer utilities need to be used when
20 the information to archived is sent through the network as well as security for file control
access and global authorization should be available and done in concert with the security
management facility.
Should the tool provide specific component functionality?
Database backup / restore is inherently more complex than backup of standard files.
25 It is important to ensure that all relationships are resurrected after restoring database files,
(Integrated with the functionality of the DBMS)
Does the tool provide support to specific areas?
• The product should support multiple heterogeneous platforms: Windows
NT, AS / 400, MVS and UNIX.
30 • Software features of the product should support items such as direct file
access, direct volume access and extended attributes. The ability to backup the
operating system files. Support should also handle open file backups either waiting and
retrying or taking a fiizzy backup.
• Dual logging support in the DBMS is required, both for online and archived
35 logs.
• Pint in time recovery of database and database components must be
supported.
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• Ability to support various types of storage devices (magnetic disc,
cartridge, tape, optical disc.)
Does the tool provide support for a specific environment?
The ability to support unattended operations reduces the need for operations
5 expertise in both central and remote locations
Does the tool add color to MODE architecture model through performance
measures?
Performance of the backup product is essential. The tool should backup all
production data in the processing window provided and the restore capability should match
10 availability and disaster recovery requirements. Performance can be enhanced through the
ability to throttle the backup process to reduce network traffic.
Archiving
Archiving saves and stores information across the distributed environment, either
15 centrally or in distributed locations. Archiving moves datasets, files, etc. from one device
to another, usually lower speed, device based on a number of parameters. Archiving can be
used to move information to or from distributed and centralized sites.
Implementation Considerations
Which files and databases will be archived?
20 Some files and databases need to be stored on fast devices so users can access them
quickly. In addition, certain files may need to be maintained for either historic or
government / regulatory reasons.
What media will be used for archiving?
The cost of the media, space available and its performance capabilities should
25 determine which archiving medium is used as well as the existence of central or local
expertise.
How long should archived data be maintained?
It is important to define the maximum time that data needs to be stored before being
deleted, including the number of generations that need to be maintained. This is because
30 the amount of archival space should be determined up front. The maximum time will likely
be determined by either government / regulatory controls or disaster recovery requirements.
How will the integrity of retrieved data or files be ensured?
Because databases can be located throughout the distributed environment, care
must be taken to ensure that data integrity is maintained. This may mean storing the master
35 copy of data centrally, or synchronizing the commits or updated of the information
appropriately.
Will archiving devices reside centrally or locally?
Central control over the archiving process will require expertise at a single location
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whereas local control will necessitate expertise in multiple locations.
Centrally located devices will require the use of both LAN and WAN bandwidth to
archive the data, and retrieval of the data will be slower. This may be difficult to achieve if
5 there are numerous devices in the system. Central location, however, will ensure that
archived data will be stored in one place, potentially making recovery from a system failure
or disaster recovery easier. In addition, central devices may be less expensive to maintain.
In contrast, local devices do not utilize the WAN bandwidth, and typically provide
10 faster data retrieval. Local devices, if available, may be more expensive, and may require
local expertise.
Implementing (1334)
Executes change within the distributed enviroimient with tested components and
techniques according to the appropriate plan(s). Implementing includes such things as:
15 initial installation, software & data distribution, license management, etc.
System Component Configuration
System Component Configuration provides a mechanism to configure equipment
(i.e., hardware and software) which has configuration parameters to set and to manage the
20 inter-relationships between configured components within the system. Configuration
information for particular equipment must be coordinated across the system to ensure that
all equipment can function together properly.
Implementation Considerations
Where does the function get input from?
25 Configuration settings can be retrieved from different sources. The release and the
rollout schedule will contain a detailed description of equipment and its configuration and
can therefore be used as input. Alternatively, the asset inventory system can be updated in
advance and then used as an active database to drive the configuring process.
Product Considerations
30 What is the Intended use of the tool?
Definition and implementation of consistent configurations for all configurable
components within the system.
What other utilities are available with the tool?
• Hardware and Software should be configured accurately and with minimal
35 business disruption during initial installation.
• Ability to re-configure hardware and software both locally and remotely.
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How well does the tool integrate with other tools in the environment?
The asset data has to be updated accordingly and must reflect the actual state of
hardware and software and all their relationships. Configuration data may be distributed to
the device by Software & Data Distribution; therefore. System Component Configuration
5 needs to get access to Software & Data Distribution processes.
Software & Data Distribution
Software and Data Distribution sends out the correct version of the release package
to the distribution locations and updates the locations with the contents of the release
10 package (e.g., software, data, configuration information, procedures and training/support
materials.)
The software and data distribution mechanism itself updates either the software,
data, or configuration information on a machine(s), reports the relative success/failure of
15 the distribution and updates the asset information for the sites/machine(s) affected by the
distribution.
Implementation Considerations
What are some limitations that may be encountered?
Training Planning also impacts how well service will be delivered within the
20 distributed environment. The skill sets required by support personnel will change with the
introduction of distributed technologies. Support personnel will be required to have greater
breadth of knowledge. No longer can an individual simply understand the network or the
applications. The intertwined nature of a distributed environment will force individuals to
understand, at least at a high-level, how the system fits together. In addition, support
25 personnel will need to have some specialized skills. As no one individual can fiilly
understand the detail behind the entire system, teams of specialized support personnel will
be required to work together to a greater extent in these environments. This group
interaction may require new skill sets not frequently found in traditional support
organizations.
30 What are some focus areas to determine an appropriate training plan?
The existing skills must be assessed and a forward-thinking training direction must
be defined. The training plan will likely emphasize newer technologies and different
methods of training with the underlying goal of providing the appropriate level of service as
required by the SLAs.
35 Product Considerations
What is the intended use of the tool?
Support the ability to distribute software components to interdependent, multiple
heterogeneous platforms from a single source. The features should be automated and only
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require minimal operator involvement.
What other utilities are available with the tool?
• Centralized control and administration of distribution function.
• Backout, configuration restoration capability.
5 • Schedulable, unattended distribution and installation of software.
• Ability to generate distribution candidate lists from asset / inventory
management database.
• Logging of status / failures to centralized system monitoring facility.
• Ability to distribute release packages constructed in module control /
10 versioning facility.
• Pre-defmed installation and de-installation scripts.
• Ability to perform complete back-out of all related segments quickly and
automatically, without impacting other, successfully installed updates.
• Features should include: data compression and decompression, check-
15 pointing, and retry.
• Users should be allowed to postpone distribution to their workstation.
What level of the component is required?
• The function must be able to access a release library, to identify release
packages, release component groups and release components, and to associate the
20 correct version number with these components.
• Ability to select destination nodes by certain criteria, such as location,
hardware type, standard configuration at these nodes and to address these nodes in the
network.
• The function must send to and install software and data at remote locations
25 reliably and within an agreed time scale causing minimum disruption.
• The function must be able to back out remotely, either as part of the
distribution or as a separate process. The mechanism must be able to regress to the
previous operable state prior to disruption.
• Ability to synchronize data and time between systems.
30 How well does the tool integrate with other tools in the environment?
Software & Data Distribution needs to access and update asset data in the asset
inventory system to reflect implemented changes (automatically). In addition the function
may be based on the same file transfer protocol as File Transfer & Control; unless the tools
uses their own proprietary file transfer method based on a standard communication
35 protocol.
Does the tool provide support for specific environments?
Specialized functionality to support operation across the wide— area network
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environment including: parallel distribution and data compression. In addition, support of
platform specific functions and capabilities due to awareness of platform specific
information resident in the asset / inventory database.
User Administration
5
User Administration handles the day-to-day tasks involved in administering users
on the system. These tasks include such things as: adding nGw users, changing user Ids, re-
establishing user passwords, maintaining groups of users, etc.
Security Management
10
Security Management controls both physical and logical security for the distributed
system. Due to the nature of a distributed environment, security may need to be managed
either centrally, remotely or through a combination of the two methods.
15 Security Management also handles the logging of proper and illegal access,
provides a way to audit security information, rectify security breaches and address
unauthorized use of the system.
Implementation Considerations
Some limitations that may be encountered?
20 Security must exist in various levels throughout the system in order to prevent
unauthorized access. Security components must be packaged into a security architecture
which can be effectively managed by an organization through their security management
strategies. The Kerberos security approach within client/server architecture, for example,
utilizes interconnected security servers and distributed security clients to provide security
25 for the distributed environment.
The number of security components required to secure a distributed environment
will increase due to the computing power available through the use of these new
technologies and the heterogeneity of the environment. Although things such as dial-up
30 access, LAN access, multiple host access, etc. introduce new user capabilities, they
simultaneously introduce security risks into the system.
What are the benefits of single logon capabilities?
Due to the number of components, users may be required to have multiple ID(s)
and passwords unless the system is designed to allow a user to access all of the required
35 resources through a single logon. As most products on the market typically allow access to
only a subset of resources, single logons with multiple ID and password coordination may
be difficult to achieve. Issues such as periodic required password changes can be difficult
to overcome while maintaining adequate security.
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Product Considerations
What is the Intended use of the tool?
Protects all computer resources, facilities and data from accidental or intentional
destruction, modification, disclosure and / or misuse.
5 What other utilities are available with the tool?
• One User-ID for access to all software (central point for all security
checking).
• Maintains a security log and user profile of what was accessed when, from
a computer resource, facility and data view point.
10 • Security Administration ability to monitor the activity of a user of resource.
• Allows users capability, when authorized, to maintain their own security
profiles by individual or group.
• Access authority for database objects (data-sets) as they appear outside the
DBMS must be controlled.
15 • Database authorities must be manageable at a group / role level.
• Single user setup and sign-on capability across all platforms and
applications.
• Virus protection on all platforms.
• Support for external security devices and dial access equipment, etc..
20 • Encrypted flow of security information across the network.
• Comprehensive access logging and auditing capability.
• Enhanced security capability beyond normally supplied UNIX levels. This
includes being able to support scoped UNIX administrative users (root subsets, limited
root functionality).
25 Network Management
Network & Systems Management Planning is responsible for the planning activities
involved in running the day— to— day operations and maintenance of the production systems
(e.g., capacity planning, performance planning, etc.).
30 Controlling (1336)
Monitors change to make sure that change is delivered on-time according to
established plans, making adjustments to the plan when unforeseen issues or events arise
(e.g., rollout management, change control, asset management etc.)
35 Change Control
Change Control is responsible for coordinating and controlling all change
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administration activities within the distributed environment (i.e., document, impact,
authorize, schedule, implementation control.)
Implementation Considerations
What types of changes will be controlled by Change Control and what is the
5 anticipated volume of changes?
The types of changes Change Control should cope with need to be defined.
Changes can range from a minor document change to the introduction of a complete new
service. However, moving a workstation fi-om one desk to another may not require a
change request.
10
Design of the function heavily depends on its size. It may be a relatively small
environment with little expected change, or it could be a huge distributed system with many
locations, many users and many different platforms.
15 It is easy to underestimate the volume and complexity of changes in a distributed
environment. Changes to different platforms can easily become very complex.
Experiences from previous engagements should be used to help predict figures. In a typical
distributed environment, several hundred changes per month can be expected.
To what extent should Change Control be integrated with the asset inventory
20 system, maintained by Asset Management?
Impact analysis can use Asset Management to get a detailed list of assets which are
dependent on the subject to be changed. It may be a mandatory requirement to provide this
list before a change request can be accepted.
To what extent should Change Control be integrated with Incident and Problem
25 Management?
Change requests might be closely tied to incidents and problems, thus when a
change is implemented, the corresponding incidents and problems can be cleared.
Which media will be used for change request submission?
Pure electronic forms will be easy to forward over different locations, but it is more
30 difficult to include a signature feature for authorization, and it is not easy to attach
documents to provide additional information.
Therefore, further paper forms are typically used for raising change requests but the
change administrator then stores the most important information in a change request
database. The decision will depend primarily on the size of the system.
35 There are some limitations that may be encountered within a distributed
environment.
There will be multiple change drivers including the users, developers/architects and
vendors. The change these groups will wish to introduce must be coordinated on a wide—
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scale basis as the impact of change within these environments is great. Change Control
allows the impact of the change to be assessed along with its merits, timescales, etc. It also
provides a way of evaluating and rationalizing multiple change requests against one another
to determine what changes should actually take place.
5 Product Considerations
What is the intended use of the tool?
Integrated central repository of source, change and configuration data used to pro-
actively manage all events impacting user service. Manage the process of change activity,
while maintaining the integrity of both application development and the production
10 environment. Support change control from the initiation of the change, through production
configuration across multiple platforms.
What other utilities are available with the tool?
• Change requests need to be registered in the system, with a unique number
assigned as well as related incidents and problems.
15 • The system must support update of change requests. Updates may include
changing priorities, results of the assessment, and adding a summary of the
implementation.
• Once a change has been implemented the change administrator must
complete the log by closing the change request.
20 • Centralized repository for software releases, including current and back-
level generations.
Asset Management
Asset Management ensures that all assets are registered within the inventory system
25 and that detailed information for registered assets is updated and validated throughout the
assets lifetime. This information will be required for such activities as managing service
levels, managing change, assisting in incident and problem resolution and providing
necessary financial information to the organization.
Implementation Considerations
30 What data will be stored?
There are four options to consider, when designing the scope of the Asset
Management function. Usage of the Asset inventory only as a production system database
(core database), including hardware devices, software versions loaded in the production
environment, their licenses and network configuration data. Thus the asset inventory
35 system only stores the core systems components in the production environment.
In addition to the production system data as describes above, it contains any
existing release and release components such as software modules, documents and
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procedures. It also contains service level agreements and actual figures for user groups and
devices, incidents, problems and change requests. It may also contain additional data such
as performance data or log of all backups taken.
How will data be kept up-to-date?
5 This can be achieved by regular and ad hoc audits, using manual and automated
procedures. An alternative approach would be to use asset data to drive Software & Data
Distribution. The Software & Data Distribution processes would get data from the asset
inventory system as input If these processes configured the devices according to the asset
inventory it would be up-to-date by definition.
10 What phases of an assets life cycle should be covered by Asset Management?
It may be appropriate to control assets within the first stage of the life cycle(i.e.,
from development on) or it my prove more appropriate to implement Asset Management
only from the point of delivery.
Product Considerations
1 5 What is the intended use of the tool?
Maintain a central repository for all software licenses and assets.
What other utilities are available with the tool?
• Software asset tracking by location / server, automatic detection of correct
level of software.
20 • Authorize license use.
• Perform periodic searches for unlicensed software.
• Central inventory system
• Ability to back up and archive the asset inventory system
What are some of the inventory maintenance issues that need to be addressed?
25 Ability to maintain a data model representing the basis for an asset inventory
system that reflects the types of assets to be managed and their relationships. The model
should be flexible to cope with future structural changes. A record needs to be added to the
inventory system when an asset is purchased or created, or when changes to the
environment are performed.
30 How well does the tool integrate with other tools in the environment?
Asset data needed to support various other management functions such as:
• Hardware Maintenance
• Release Testing
• Procurement
35 • Initial Installation
• System Component Configuration
• Software & Data Distribution.
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Does the tool provide support for a specific environment?
Current asset data from the distributed environment needs to be retrieved frequently
through regular and ad hoc audits.
Rollout Management
Rollout Management is concerned with delivering new sites or services to existing
sites on-time based on the rollout schedule. Rollout Management monitors the rollout
progress of all functions against the rollout schedule to ensure that the schedule is
maintained. Review of the rollout schedule takes place regularly to determine how well
rollout is progressing and to make any adjustments to the rollout schedule based upon any
problems or issues which arise.
Implementation Considerations
What are some principles that should be applied in determining rollout planning?
At the beginning of a rollout, the number of incidents can be dramatic. This
happens due to initial problems with hardware and system software as well as the
unfamiliarity of the users. In addition to an increased support load, support teams will need
more time to process an incident and to solve an underling problem since they will need to
become familiar with the new service. Once support teams have become familiar with the
system and know how to resolve the most common problems, rollout can be accelerated.
Since many problems will occur initially during rollout, it is important to have
quick access to support teams and development teams. If sites are close, support personnel
can get to the sites quickly. Once the system is more stable, remote installation can occur.
Instead of planning a tight schedule that keeps teams busy all the time, some
windows should be left in the schedule to allow catching up time in case of delays.
Otherwise, small deviations to the schedule cannot be handled and larger delays to the
entire schedule will result.
When rollout continues over a period of time, hardware and system software
updates will affect the initial implementation of the system. The service to be implemented
itself may also be updated during rollout. Therefore it is important to review hardware and
software maintenance and release plans and to reflect these plans in the rollout schedule.
Will the system be rolled out in one big bang or through a phased rollout over a
longer period of time?
Rollout of a new service can either be performed at one specific point in time for all
locations or phased over a certain period of time. Phased rollout is the preferred approach
because it limits the risk of serious business disruptions. In some cases, however, it may be
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necessary to complete rollout simultaneously for business reasons.
What are some of the limitations encountered in a distributed environment?
Rollout Planning handles the greatest period of change in distributed systems
management - system rollout and installation. During rollout every site and every user may
5 be impacted by the changes taking place. Since delivery of the system will affect how well
it is received by the users and is oftentimes defined by an SLA(s), delivery of the system
must take place smoothly with minimal interruption to the users. This can be challenging
when both old and new architecture domains must exist concurrently until the rollout has
been completed.
0
Interdependencies within the schedule must be identified prior to rollout to
highlight the importance of the schedule and the effort required from each group involved.
Release Control
15 Release Control is concerned with delivering a release on-time based upon the
release schedule. Release Control monitors the release progress of all activities against the
schedule to ensure that the schedule is maintained. Review of the release schedule takes
place regularly to determine how well the release is progressing and to make any
adjustments to the release schedule based upon any issues or problems which arise.
20 Implementation Considerations
What will be the versioning strategy?
It is necessary to determine how a release will be named and versioned. The
following points should be considered when defining a versioning strategy. The versioning
strategy should be kept simple and meaningful. Versions should be applied not only for
25 complete releases, but for all logical groups of release components as defined in the release
definition data model. Asset Management needs to reflect the release component data
model in order to be able to store the asset information. In addition, the versioning strategy
will affect Software & Data Distribution to ensure that the appropriate version of
software/data is resident on the unit prior to implementing the new release, and co-requisite
30 checking ensures that implementations of software/data will leave a machine in a valid
state.
How frequently should new releases be packaged?
A minimum time interval between two regular releases needs to be defined. Most
planned releases typically occur within three to six months of one another.
35 Will delta releases be allowed?
The need for delta releases as part of the overall policy must be determined. Delta
releases are high risk, as they require a much better xmderstanding of what is already
implemented.
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Delta releases have the advantage of requiring less storage space on the target
machine but it may be more difficult to ensure that the base components are compatible.
This can become a particular problem v^hen many components have changed and several
5 delta releases have accumulated.
Will simultaneom changes across platforms be required?
Implementing releases in a distributed environment requires complex
synchronization across machines and platforms. An appropriate strategy needs to be
determined.
10 What are some limitations that may be encountered at distributed sites?
Release Planning coordinates the release of updates (e.g., software, data,
procedures, etc.) to the distributed sites. An application, for instance, can no longer be
delivered upon successful completion of its system test. This is due to the fact that any
change in the distributed environment w^ill impact other components in the distributed
15 environment. Releases must therefore be planned carefully to ensure that a change will not
negatively impact the distributed system.
Product Considerations
What is the intended use of the tool?
Monitoring and delivery of releases as well as review of release schedule versus
20 planned schedule.
What other utilities are available with the tool?
• Provide management of source code, objects, executables, graphics, and
documentation.
• Track and manage multiple versions of an application, such as
25 development, staging, certification, production, and prior versions of production.
• Provide automatic file versioning, configuration versioning, release control,
change tracking, etc.
• Populate multiple platforms with the correct code at the same time or on
schedule, and provide update status.
30 • Confirmation of release scheduling and determine if the release is on
schedule and report on progress of release.
• If schedules have to be changed, changes need to be authorized by all
involved functions and components.
How well does the tool integrate with other tools in the environment
35 Release Planning and Release Control naturally use the same tool, typically a
spreadsheet, for creating and maintaining the release schedule.
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Migration Control
Migration Control is a function underneath Release Control. Updates to the
distributed system must be tested prior to being released into the distributed environment.
5 To control the updates as the move from the development into the production environment,
Migration Control ensures that the proper updates are received from development,
versioned according to the version strategy of Release Planning, moved into the test
environment, moved form the test environment into the production environment after the
pre release tests have been successfully completed.
10 Implementation Considerations
What units are subject to migration?
The groups of components, which are allowed to be migrated, must be determined,
for example: single soflAvare modules or documents can be migrated on their own and only
complete releases (including delta releases) with all their components may be migrated.
15 Where will the release library be located?
The library can either be held centrally or can be distributed over various sites, A
centralized approach is preferable in order to avoid inconsistencies.
Which platforms and media are used for the release library?
The release library may reside of several platforms. UNIX software may be stored
20 on UNIX servers, host software on hosts and third party workstation software may be on
floppy disks.
License Management
License Management ensures that software licenses are being maintained
25 throughout the distributed system and that license agreements are not being violated.
Implementation Considerations
What data will be stored?
There are four options to consider, when designing the scope of the Asset
Management fiinction. Usage of the Asset inventory only as a production system database
30 (core database), including hardware devices, software versions loaded in the production
environment, their licenses and network configuration data. Thus the asset inventory
system only stores the core systems components in the production environment.
In addition to the production system data as describes above, it contains any
35 existing release and release components such as software modules, documents and
procedures. It also contains service level agreements and actual figures for user groups and
devices, incidents, problems and change requests. It may also contain additional data such
as performance data or log of all backups taken.
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How will data be kept up-to-date?
This can be achieved by regular and ad hoc audits, using manual and automated
procedures. An ahernative approach would be to use asset data to drive Software & Data
Distribution. The Software & Data Distribution processes would get data from the asset
5 inventory system as input If these processes configured the devices according to the asset
inventory it would be up-to-date by definition.
What phases of an assets life cycle should be covered by Asset Management?
It may be appropriate to control assets within the first stage of the life cycle(i.e.,
from development on) or it my prove more appropriate to implement Asset Management
10 only from the point of delivery.
Product Considerations
What is the intended use of the tool?
Maintain a central repository for all software licenses and assets.
What other utilities are available with the tool?
15 • Software asset tracking by location / server, automatic detection of correct
level of software.
• Authorize license use.
• Perform periodic searches for unlicensed software.
• Central inventory system
20 • Ability to back up and archive the asset inventory system
What are some of the inventory maintenance issues that need to be addressed?
Ability to maintain a data model representing the basis for an asset inventory
system that reflects the types of assets to be managed and their relationships. The model
should be flexible to cope with future structural changes. A record needs to be added to the
25 inventory system when an asset is purchased or created, or when changes to the
environment are performed.
How well does the tool integrate with other tools in the environment?
Asset data needed to support various other management functions such as:
• Hardware Maintenance
30 • Release Testing
• Procurement
• Initial Installation
• System Component Configuration
• Software & Data Distribution.
35 Does the tool provide support for a specific environment?
Current asset data from the distributed environment needs to be retrieved frequently
through regular and ad hoc audits.
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Database Management (1338)
Database Management is the management and administration of database
technologies, including monitoring, physical file placement, performance, and sizing.
5 Database Recovery
Database Recovery is the process of providing recovery of database entities
following a logical or physical database failure. This includes database software failure and
local disk failure.
10 Database Disaster Recovery
Database Disaster Recovery is the process of recovering the database entities
following a catastrophic failure. This process should be fully integrated in the enterprise-
wide disaster recovery plan.
15 Database Ba ckup / Restore Management
Database Backup/ Restore Management is the process of providing point-in-time
backup and recovery for logical database restores. This includes application-driven data
errors, dropped tables, and corrupt data.
20 Capacity Modeling & Planning
Capacity Modeling & Planning ensures that adequate resources will be in place to
meet the SLA requirements, keeping in mind operational requirements which may require
additional capacity. Resources can include such things as physical facilities, computers,
25 memory/disk space, communications lines and personnel. Through this component,
changes to the existing environment will be determined, modeled and planned according to
the necessary requirements.
In^lementation Considerations
What are some limitations that may be encountered?
30 Capacity Planning 8l Modeling must coordinate the requirements across the system
(e.g., networks, servers, workstations, CPU, etc.) Capacity is driven by the need to meet
SLAs with the user communities and as part of the planning and modeling process, future
threats to capacity should be identified.
35 Capacity planning cannot, however, be done separately for each piece of the
system. Capacity planning must be done for the system as a whole to understand how the
capacity of one portion of the system affects the capacity of another. Due to the large
number of components within a distributed environment with any-to-any connectivity that
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will affect the systems capacity, the equation for determining capacity quickly becomes
large, with many interdependencies.
Monitoring (1340)
5 Verifies that the system is continually functioning in accordance with whatever
service levels are defined.
Performance Management
Performance Management ensures that the required resources are available at all
10 times throughout the distributed system to meet the agreed upon SLAs. This includes
monitoring and management of end-to-end performance based on utilization, capacity, and
overall performance statistics. If necessary, Performance Management can make
adjustments to the production environment to either enhance performance or rectify
degraded performance.
15 Implementation Considerations
What are some of the critical elements to focus on in a centralized environment and
distributed environment?
Performance Management in a centralized environment typically focuses on three
main factors: CPU utilization, disk I/O, memory occupancy.
20
Within the distributed environments, however, these factors extend out into the
environment across networks, increasing the complexity of gathering the necessary
performance information.
View performance as a typically business driven?
25 Performance Management needs to consider performance from a business
perspective, not merely a systems one. Most transactions in distributed systems utilize a
wide variety of resources, and the measurement of end-to— end response time becomes the
sum of the time expended by each one of the components sequentially involved in the
transaction less the time while components were processing in parallel.
30 What devices / users will be monitored and at which locations? Will this
information change?
Understanding the scope of devices / users, and their locations is key to managing
performance. Understanding whether or not the scope will change will help determine how
Performance Management needs to be approached.
35 Will performance be measured from end- to- end or merely for individual
components?
The issues associated with each of these approaches are described above. The
approach chosen will have a profound effect on determining the issues that need to be
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resolved.
Will monitoring be continuous or by demand?
Continuous monitoring can generate significant performance overhead, whereas
targeted, periodic monitoring may only be necessary. This strategy will impact the design of
5 the technical infrastructure as well as the tools chosen the manage the systems performance.
Will only selected transactions be measured, and if so, should this selection be
configurable?
It may be necessary to measure business critical transactions only; specified within
the SLA. If the facility to select specific transactions is required, significant customization
of the system may be necessary.
Will response times be required for all transactions of a particular type, or can
sampling be used?
Once transaction have been selected for monitoring, the decision needs to be taken
whether or not every transaction of that type should be monitored, or only a sample set of
those transactions. Full monitoring may increase network and processing overheads.
The ability to dynamically adjust the system to improve performance is also
critical?
As SLAs will likely be tied in some way to performance, it is important to monitor
and correct the systems performance as it degrades to ensure that operational levels are
maintained and that the SLA(s) will not be violated.
Product Considerations
What is the Intended use of the tool?
Collect, analyze and display in graphical format real-time performance
characteristics from a wide range of resources. Analyze current workload and configuration
data and forecast future requirements, as well as providing input into the Financial planning
process.
What other utilities are available with the tool?
• Provide real time monitoring and interactive tuning of the environment.
Ability to input threshold alerting based on high / low watermarks and proactively act.
• Monitoring capabilities include the ability to measure CPU and disk
utilization, memory occupancy, transaction response time, reports (storage &
distribution), printers, network utilization and performance, circuit utilization, backup
facilities, WAN / LAN utilization..
• Instance level tuning and configuration parameters (memory, I/O,
joumalling) to address performance problems.
Other integrated tools needed to provide support for this environment?
May require use of some or all of the following monitoring tools: operating system
monitor, on-line monitor, batch monitor, data base monitor, (host, server) and network
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monitor (WAN, LAN).
How well does the tool integrate and interface with other tools / components in the
environment?
• Performance measures must be consistent with Service Level management
5 techniques
• Performance statistics are essential to facilitate ongoing Capacity Planning
and Modeling.
• Resource utilization statistics may be used to generate costing, and
potential billings for customers.
10 • Passes data to the resource consumption management facility to report on
the recurring processing cost of each business application.
Physical Site Management
Physical Site Management monitors the central and distributed sites environmental
15 and regulatory levels. Physical Site Management ensures that adequate power, cooling
facilities, fire suppression, etc. are provided and maintained to prevent system outages.
When necessary, corrective actions are issued and monitored according to pre-defined
environmental control plans.
Testing (1342)
20
Ensures that changes to the distributed environment will not negatively impact the
distributed environment and that changes will cause positive things to take place (e.g.,
better system performance, improved operability, etc.)
Product Validation
25
Product Validation tests potential hardware and software for the distributed
environment prior to procurement to determine how well a product will fulfill the
requirements identified. Product Validation also ensures that the implementation of a new
product will not adversely affect the existing environment.
30 Implementation Considerations
To what extent will the production environment be reflected?
The design of the test environment should reflect the production environment as
closely as possible. In principle it is desirable to have an identical set up in both
environments. However, this may be cost prohibitive and some parts of the configuration
35 may not be critical to business. The contents of the test environment therefore need to be
decided. Yet it is difficult to judge which components of a distributed environment may
actually impact services. For example, networking components, such as bridges, are often
seen as transparent and not required in a test environment, which my mean that several
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LANs in production are only reflected by one LAN in the test environment. The risk of
adopting this approach must be addressed thoroughly, and should be approved be senior
management.
What are some limitations that may be encountered within a distributed
5 environment?
Because the technologies are new, it may not be possible to accurately assess what
needs to be tested for a particular product. There are many configuration variants in the
distributed environment, a single test environment for the validation becomes difficult to
achieve and multiple test environments may be required.
10 Release Testing
Release Testing receives the proper version of a release package (e.g., software,
data, procedures, support materials) and tests the release of the upgrade in a test
environment to ensure that the:
15 • entire release package is compatible with the existing environment
• release package may be released successfully by the planned methods
• release can be supported by support personnel.
Implementation Considerations
To what extent will the production environment be reflected?
20 The design of the test environment should reflect the production environment as
closely as possible. In principle it is desirable to have an identical set up in both
environments. However, this may be cost prohibitive and some parts of the configuration
may not be critical to business. The contents of the test environment therefore need to be
decided. Yet it is difficult to judge which components of a distributed environment may
25 actually impact services. For example, networking components, such as bridges, are often
seen as transparent and not required in a test environment, which my mean that several
LANs in production are only reflected by one LAN in the test environment. The risk of
adopting this approach must be addressed thoroughly, and should be approved be senior
management.
30 Will release tests cover the full business cycle and use full business volumes?
To ensure that the Operability Principles have been satisfied, each release should,
in principle, undergo a release test of a full business cycle (to show that Operations can run
it) and full business volumes (to show that SLA targets can be achieved). These tests are,
however, expensive in terms of dedicated hardware requirements, people, and elapsed time.
35 In practice, Release Planning will propose an approach dependent on the magnitude
and sensitivity of change for each release. The approach must be approved by senior
management. If service levels are not to be compromised, major releases must undergo a
fiill release test.
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REPOSITORIES (1344)
Repositories contain all the management data generated or used during the
management process. This includes historical data, capacity data, performance data,
problem knowledge bases, asset databases, solution sets, and management information
5 bases (MIBs). The repositories component interacts with the management applications,
integration platform, supporting infrastructure, and presentation components. Again it is
important to make sure that the other components of the operational architecture are
compatible with the database tools.
Production Control (1346)
10 Ensures that production activities are performed and controlled as required and as
intended.
Backup / Restore Management
Backup and Restore Management considers all of the back-up and restorations that
need to take place across the distributed system for master copies of data. Depending on
15 the need, these processes may occur centrally or remotely.
Archiving
Archiving saves and stores information across the distributed environment, either
centrally or in distributed locations. Archiving moves datasets, files, etc. from one device
to another, usually lower speed, device based on a number of parameters. Archiving can be
20 used to move information to or from distributed and centralized sites.
INTEGRATION PLATFORM (1348)
The integration platform provides a common platform for the operational
architecture. At the lowest level this means deciding on common standards, interfaces,
massage formats, and file logging forms to be used with all the management tools. Third
25 party integration platforms are also readily available. Some of the more well known
platforms include IBMNetView, HP OpenView, Sun Solstice EM, SunNet Manager,
Spectrum, CA-Unicenter, and Tivoli Management Environment. There are basically two
types of third party platforms available. The first group are products like HP OpenView
which are very modular. Each tool within the suite can be run separately, however, they all
30 conform to a common framework which allows for greater compatibility and integration
and better performance. The other group of products, including the Tivoli Management
Environment, require the use of a separate integration platform component into which the
management applications are connected. The integration platform and the management
applications components of the MAP Operational Architecture Model are integrally related.
35 Many third party vendors insist that they provide solutions which incorporate the event/data
generation, event processing, repositories, and presentation components of the MAP
operational architecture. It must be noted however that some of these total solution
providers may sell a proprietary based solution, at best, and/or may include customized
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Application Programming Interfaces (API) or Software Development Kit capabilities in
order to completely integrate your non-proprietary network. In Addition, some vendors also
may not conform to the recent CORBA Open Standards Framework model.
Lastly, some environments use a home grown integration platform. The choice of
5 integration platforms depends upon its ability to integrate with the execution and
development environments.
Network Management
Network & Systems Management Planning is responsible for the planning activities
10 involved in running the day-to-day operations and maintenance of the production systems
(e.g., capacity planning, performance planning, etc.).
SUPPORTING INFRASTRUCTURE (1350)
The supporting infrastructure is the subset of operating systems, utilities,
15 languages, and protocols used to support the management of the system. The supporting
infrastructure is most often determined by the execution and development environments and
the business applications on the system. It is necessary to ensure that the other components
of the operational architecture are compatible with the existing supporting infrastructure.
This limits the number of possible tool set solutions. Examples of operating systems
20 include HP-UX, AIX, Solaris, SCO, Novell NOS, MVS, Open VMS, NT and DOS.
Examples of support utilities include PS, GREP, IBCOPY, TAR, CPIO and clock
correlation. Examples can be broken down according to their function within the OSI
model. Session protocols include SNMP, CMIP, FTP, and RPC. Transport protocols
include TCP and UDP. Network protocols include IP and IPX. Data-Link protocols
25 include Token Ring, Ethernet, X.25, ATM, SONET, and Frame Relay,
Production Control (1352)
Ensures that production activities are performed and controlled as required and as
intended.
File Transfer & Control
30 File Transfer and Control initiates and monitors files being transferred throughout
the system as part of the business processing (e.g., nightly batch runs). File transfers may
occur between any two or more devises within the system.
Implementation Considerations
What platforms will be involved in the file transfers?
35 The platforms will be determined by both the business and the technical
requirements. This will impact the selection of the file transfer tools, and , in particular,
how the file transfers are controlled from platform to platform.
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How many files will be transferred? With what frequency?
The number of files to be transferred as well as their frequency will impact the
capacity required on the system (e.g., network bandwidth) as well as the production
schedule. In addition, if the volume of data is significant, data compression may be
5 required.
Will store and forward be supported?
Store and forward techniques can help reduce the contention for system resources
during business hours. Store and forward can also reduce the amount of traffic in the
system based upon the routing tables defined within the system. Instead of having one
10 machine send the same file to multiple machines, for instance, a cascading forwarding
mechanism can be used. This also improves the system performance as files are sent a
minimal number of times to certain devices which then forward the files on to other
devices.
What are some limitations that may be encountered?
15 File transfers in a distributed environment are not confined between hosts. File
transfers can take place in a bi-directional fashion between hosts, servers and workstations.
Due to the geographical disparity and number of devices in these environments, file
transfers will increase the traffic over the network and will require careful scheduling to
ensure that the necessary file transfers take place amidst the rest of the processing.
20 MANAGING HARDWARE (1354)
Managing hardware is all hardware directly used to manage the environment. This
includes all staging components. These components are devoted to systems management
functions. Examples of managing hardware include management servers, management
controllers, management consoles, probes, and sniffers. One significant component in the
25 hardware monitoring arena is Firewall access control policy management. Firewalls are
regularly used for network based security management. It is typically a system or group of
systems that enforce access control between two or more networks and/or perform network
data packet filtering. Usually packet filtering router hardware and application gateways are
used to block unauthorized IP packets and enforce proxy defined user commands.
30 Failure Control (1356)
Involves the detection and correction of faults within the system whether they be
minor (e.g., workstation is down) or major (i.e., a disaster) has occurred.
Disaster Recoverv
In the event of a significant system failure. Disaster Recovery processes will be
35 invoked to re-route the system resources to a secondary, stable configuration until the
primary resources can be restored. Within a distributed environment, disaster recovery
must account for differing levels of disaster whether at a central or distributed site(s).
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Fault Management
When a negative event has been brought to the attention of the system, actions are
undertaken within Fault Management to define, diagnose, and correct the fault. Although it
may be possible to automate this process, human intervention may be required to perform at
5 least some of these management tasks.
Implementation Considerations
What are some limitations that may be encountered?
In order to correct faults in a distributed environment, remote fault diagnosis and
correction tools may also be required. It may not be possible to count on having technical
expertise on-sites, forcing fault management to be handled from a centralized area.
Products which perform these functions at present, however, provide somewhat limited
capabilities in this arena.
Recovery
Recovery manages all of the actions needed to restore service delivery after a
system failure. With critical business applications being rolled out on distributed
technologies, the recovery of these systems must be easy, quick and efficient to guarantee
availability of core business systems as expressed in the agreed service levels and
operational levels.
Hardware Maintenance
Hardware Maintenance maintains all of the components within a distributed system
to protect the investment of the organization. Generally agreed upon in the SLAs,
maintenance contracts are carried out, monitored and recorded for each asset as appropriate.
Implementation Considerations
What will the Hardware Maintenance targets be?
Different hardware components will likely have different maintenance targets.
These targets should be defined based upon information provided by the vendor as well as
information provided from other client engagements.
Where will Hardware Maintenance be required?
Hardware Maintenance may be required at both the central and remote locations.
Careful consideration must be given as to how the hardware at remote locations will be
maintained (e.g., by a local expert, third-party vendor, etc.)
Monitoring (1358)
Verifies that the system is continually functioning in accordance with whatever
service levels are defined.
Event Management
An event is an electronic message generated by any component (e.g., application
software, system software, hardware, etc.) in the system. Event Management receives, logs,
classifies and presents event messages on a console(s) based on pre-established filters or
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thresholds. '
Implementation Considerations
What type of events will be monitored? More specifically, what services need to be
monitored across which devices (e.g., servers, workstations, routers, hubs, bridges)?
The scope of events to be monitored will have a major impact on the approach
taken for Event management and the tools selected.
Where will devices reside on the network, and how frequently will they be polled?
The number of devices, their respective locations and polling requirements will
significantly contribute to network bandwidth usage.
Where can event filtering be applied?
In order to reduce bandwidth, it is preferable that event filtering be performed
locally to avoid sending all event information across the network, utilizing bandwidth and
central processing capability unnecessarily.
What management protocols need to be supported?
The protocol requirements will impact the selection of the tool. For more
information on management protocols, refer to the management protocols using SNMP and
CMIP as examples.
What are some of the limitations that may be encountered?
The number of events generated in the system will increase due to the complexity
of the system. Devices will generate events as well as applications, the technical
infrastructure, etc. Common event handling mechanisms will be required to provide
management information in a simple, consistent format and to forward important events on
for management purposes. In addition, filtering capabilities may also be needed at remote
locations to prevent the streaming of events to central / master management consoles.
Performance Management
Performance Management ensures that the required resources are available at all
times throughout the distributed system to meet the agreed upon SLAs. This includes
monitoring and management of end-to-end performance based on utilization, capacity, and
overall performance statistics. If necessary. Performance Management can make
adjustments to the production environment to either enhance performance or rectify
degraded performance.
Physical Site Management
Physical Site Management monitors the central and distributed sites environmental
and regulatory levels. Physical Site Management ensures that adequate power, cooling
facilities, fire suppression, etc. are provided and maintained to prevent system outages.
When necessary, corrective actions are issued and monitored according to pre-defined
environmental control plans.
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Implementation Considerations
What are some of the limitations that may encountered?
Important to ensure that adequate power, cooling facilities, fire suppression, etc.
are provided and maintained to prevent system outages from external environmental factors.
5 With increased computing power at multiple sites, these tasks may not be simple.
PHYSICAL ENVIRONMENT (1360)
The physical environment includes all the support indirectly involved in
maintaining and managing the distributed environment. Initially it was thought
client/server technology would make data centers obsolete. However, with the migration of
10 mission critical processes to client/server environments, many servers are being maintained
in data centers in an effort to increase reliability. As a result, the importance of managing
the physical environment has increased. Partially because it was initially believed not to be
very important and because it does not relate directly to the information systems, the
physical environment of the operational architecture is often overlooked. These systems
15 include UPS, raised floor, power, site survey and preparation, wiring/cabling, climate
control, etc..
Related MODE functions The breakdown the MODE functions by operational
architecture layer is meant to provide a guideline. The MODE functions mentioned within
each component are applicable to that component though the function may not be included
20 in that component. For example, Physical Site Management relates to the physical
environment in that the physical environment contains the hardware managed through
Physical Site Management. Physical Site Management tools do not necessarily reside in the
physical environment layer. Some MODE functions do not require the use of a tool, while
other MODE functions have tool solutions that work in different ways. For this reason
25 some functions were included in multiple layers while other functions were omitted.
Implementing (1362)
Executes change within the distributed environment with tested components and
techniques according to the appropriate plan(s). Implementing includes such things as:
initial installation, software & data distribution, license management, etc.
30 Initial Installation
Initial Installation prepares the physical location for the rollout of a new site or
service, pre-assembles the equipment (hardware and software) based on developed
specifications, installs the equipment and tests that the equipment is fully functional prior to
allowing the users to utilize the system in a production environment.
35 Implementation Considerations
Some guiding principles:
Precise build procedures must be delivered early enough to drive Release Testing,
Procurement, and rollout plans. It must be clear exactly what the install process will cover.
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Who will perform which tasks when and where? Software and Data must be available in
time to create copies for the hangar. This means development teams need to ensure
availability of software up to a number of weeks before going live.
To what extent will configuration be performed centrally prior to installation?
5 Some of the configuration tasks can be performed in a central hangar. Assembly
of the machines may include configuration and software installation. Only minor tasks,
such as setting networking addresses have to be performed after the equipment has been
delivered to the remote site.
Product Considerations
10 What is the intended use of the tool?
Prepare physical locations and devices (both HW and SW) for new rollout based on
developed specifications and perform installation and functional testing of new devices
prior to release to the users.
What other utilities are available with the tool?
15 Initial Installation must be able to load rapidly, reliably and consistently a large
number of devices with a standard configuration. Automatic update of asset data
accordingly, asset inventory must reflect the actual state of the devices; their set up and
their networking address.
How well does the tool integrate with other tools in the environment?
20 During Initial Installation, software and data is loaded at the machines. The
Software & Data Distribution function may be used to ship software and data to the
location where it is to be installed (e.g. remote sites).
Procurement
Procurement is responsible for ensuring that the necessary quantities of equipment
25 (both hardware and software) are purchased and delivered on-time to the appropriate
locations. Procurement is also responsible for logging all assets into the inventory as they
are received.
Implementation Considerations
Will equipment be resourced from multiple or single suppliers?
30 It is likely that organization will have close and long-term relationships to certain
suppliers. In many cases, suppliers will offer discounts to their most loyal customers.
These partnerships are advantageous for both sides, as long as they do not lead to supplier
lock-in, i.e. the organization becomes technically dependent on one supplier. Technical
portability and interoperability help support independence.
35 What will be the payment policy (immediate or delayed)?
A management decision is required, which compares cash flow benefits through
payment as late as possible against discounts for early payment. This will usually be an
extension of an existing policy.
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Monitoring (1364)
Verifies that the system is continually functioning in accordance with whatever
service levels are defined.
Physical Site Management
5 Physical Site Management monitors the central and distributed sites environmental
and regulatory levels. Physical Site Management ensures that adequate power, cooling
facilities, fire suppression, etc. are provided and maintained to prevent system outages.
When necessary, corrective actions are issued and monitored according to pre— defined
environmental control plans.
1 0 WEB ARCHITECTURE FRAMEWORK
The foregoing development and operation architecture framework of Figures 2-13
may thus be employed in the generation of an Internet architecture framework like the one
shown in Figure 14 to support various features such as an electronic commerce component
1400, a content channels component 1402, an administrative component 1404, a customer
15 relationship management component 1406, a content management and publishing services
component 1408, an education related services component 1410, or a web customer service
component 1412.
The present invention provides a new kind of web architecture framework (called
"WAF" in this document) that secures, administers, and audits electronic information use.
20 WAF also features fundamentally important capabilities for managing content that travels
"across" the "information highway." These capabilities comprise a rights protection
solution that serves all electronic community members. These members include content
creators and distributors, financial service providers, end-users, and others. WAF is the
first general purpose, configurable, transaction control/rights protection solution for users
25 of computers, other electronic appliances, networks, and the information highway.
The Internet is a method of interconnecting physical networks and a set of
conventions for using networks that allow the computers they reach to interact. Physically,
the Internet is a huge, global network spanning over 92 countries and comprising 59,000
academic, commercial, government, and military networks, according to the Government
30 Accounting Office (GAO), with these numbers expected to double each year. Furthermore,
there are about 10 million host computers, 50 million users, and 76,000 World-Wide Web
servers connected to the Internet. The backbone of the Internet consists of a series of high-
speed communication links between major supercomputer sites and educational and
research institutions within the U.S. and throughout the world.
35 Protocols govern the behavior along the Internet backbone and thus set down the
key rules for data communication. Transmission Control Protocol/Internet Protocol
(TCP/IP) has an open nature and is available to everyone, meaning that it attempts to create
a network protocol system that is independent of computer or network operating system and
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architectural differences. As such, TCP/IP protocols are publicly available in standards
documents, particularly in Requests for Comments (RFCs). A requirement for Internet
connection is TCP/IP, which consists of a large set of data communications protocols, two
of which are the Transmission Control Protocol and the Internet Protocol.
5 The International Telecommunication Union-Telecommunication Standardization
Sector ("ITU-T") has established numerous standards governing protocols and line
encoding for telecommunication devices. Because many of these standards are referenced
throughout this document, summaries of the relevant standards are listed below for
reference.
10 ITU G.71 1 Recommendation for Pulse Code Modulation of 3kHz Audio Channels.
ITU G.722 Recommendation for 7kHz Audio Coding within a 64 kbit/s channel.
ITU G.723 Recommendation for dual rate speech coder for multimedia
communication transmitting at 5.3 and 6.3 kbits.
ITU G.728 Recommendation for coding of speech at 16 kbit/s using low-delay
15 code excited linear prediction (LD-CELP)
ITU H.221 Frame Structure for a 64 to 1920 kbit/s Channel in Audiovisual
Teleservices
ITU H.223 Multiplexing Protocols for Low Bitrate Multimedia Terminals
ITU H.225 ITU Recommendation for Media Stream Packetization and
20 Synchronization on non-guaranteed quality of service LANs.
ITU H.230 Frame-synchronous Control and Indication Signals for
Audiovisual Systems
ITU H.23 1 Multipoint Control Unit for Audiovisual Systems Using Digital
Channels up to 2 Mbit/s
25 ITU H.242 System for Establishing Communication Between Audiovisual
Terminals Using Digital Channels up to 2Mbits
ITU H.243 System for Establishing Communication Between Three or More
Audiovisual Terminals Using Digital Channels up to 2 Mbit/s
ITU H.245 Recommendation for a control protocol for multimedia communication
30 ITU H.26 1 Recommendation for Video Codei-Decoder for audiovisual services
supporting video resolutions of 352x288 pixels and 176x144 pixels.
ITU H.263 Recommendation for Video Codei^Decoder for audiovisual services
supporting video resolutions of 128x96 pixels, 176x144 pixels, 352x288 pixels, 704x576
pixels and 1408x1 152 pixels.
35 ITU H.320 Recommendation for Narrow Band ISDN visual telephone systems.
ITU H.32 1 Visual Telephone Terminals over ATM
ITU H.322 Visual Telephone Terminals over Guaranteed Quality of Service
LANs
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ITU H,323 ITU Recommendation for Visual Telephone Systems and Equipment
for Local Area Networks which provide a non-guaranteed quality of service.
ITU H.324 Recommendation for Terminals and Systems for lowbitrate (28.8
Kbps) multimedia communication on dial-up telephone lines.
5 ITU T. 1 20 Transmission Protocols for Multimedia Data.
In addition, several other relevant standards exist including:
ISDN Integrated Services Digital Network, the digital communication standard for
transmission of voice, video and data on a single communications link.
RTF Real-Time Transport Protocol, an Internet Standard Protocol for transmission
10 of real-time data like voice and video overunicast and multicast networks.
IP Internet Protocol, an Internet Standard Protocol for transmission and delivery of
data packets on a packet switched network of interconnected computer systems.
PPP Point-to-Point Protocol
MPEG Motion Pictures Expert Group, a standards body under the International
15 Standards Organization(ISO), Recommendations for compression of digital Video and
Audio including the bit stream but not the compression algorithms.
SLIP Serial Line Internet Protocol
RSVP Resource Reservation Setup Protocol
UDP User Datagram Protocol
20 The popularity of the TCP/IP protocols on the Internet grew rapidly because they
met an important need for worldwide data communication and had several important
characteristics that allowed them to meet this need. These characteristics, still in use today,
include:
1) A common addressing scheme that allows any device running
25 TCP/IP to uniquely address any other device on the Internet.
2) Open protocol standards, freely available and developed
independently of any hardware or operating system. Thus, TCP/IP is capable of
being used with different hardware and software, even if Internet communication is
not required.
30 Independence from any specific physical network hardware, allows TCP/IP to
integrate many different kinds of networks. TCPAP can be used over an Ethernet, a token
ring, a dial-up line, or virtually any other kinds of physical transmission media.
An understanding of how information travels in communication systems is required
to appreciate the recent steps taken by key players in today's Internet backbone business.
35 The traditional type of communication network is circuit switched. The U.S. telephone
system uses such circuit switching techniques. When a person or a computer makes a
telephone call, the switching equipment within the telephone system seeks out a physical
path from the originating telephone to the receiver's telephone. A circuit-switched
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network attempts to form a dedicated connection, or circuit, between these two points by
first establishing a circuit from the originating phone through the local switching office,
then across trunk lines, to a remote switching office, and finally to the destination
telephone. This dedicated connection exists until the call terminates.
5 The establishment of a completed path is a prerequisite to the transmission of data
for circuit switched networks. After the circuit is in place, the microphone captures analog
signals, and the signals are transmitted to the Local Exchange Carrier (LEC) Central Office
(CO) in analog form over an analog loop. The analog signal is not converted to digital form
until it reaches the LEC Co, and even then only if the equipment is modem enough to
10 support digital information. In an ISDN embodiment, however, the analog signals are
converted to digital at the device and transmitted to the LEC as digital information.
Upon connection, the circuit guarantees that the samples can be delivered and
reproduced by maintaining a data path of 64 Kbps (thousand bits per second). This rate is
not the rate required to send digitized voice per se. Rather, 64 Kbps is the rate required to
15 send voice digitized with the Pulse Code Modulated (PCM) technique. Many other
methods for digitizing voice exist, including ADPCM (32 Kbps), GSM (13 Kbps),
TrueSpeech 8.5 (8.5 Kbps), G.723 (6.4 Kbps or 5.3 Kbps) and Voxware RT29HQ (2.9
Kbps). Furthermore, the 64 Kbps path is maintained from LEC Central Office (CO) Switch
to LEC CO, but not from end to end. The analog local loop transmits an analog signal, not
20 64 Kbps digitized audio. One of these analog local loops typically exists as the "last mile"
of each of the telephone network circuits to attach the local telephone of the calling party.
This guarantee of capacity is the strength of circuit-switched networks. However,
circuit switching has two significant drawbacks. First, the setup time can be considerable,
because the call signal request may find the lines busy with other calls; in this event, there
25 is no way to gain connection until some other connection terminates. Second, utilization
can be low while costs are high. In other words, the calling party is charged for the
duration of the call and for all of the time even if no data transmission takes place (i.e. no
one speaks). Utilization can be low because the time between transmission of signals is
unable to be used by any other calls, due to the dedication of the line. Any such unused
30 bandwidth during the connection is wasted.
Additionally, the entire circuit switching infrastructure is built around 64 Kbps
circuits. The infrastructure assumes the use of PCM encoding techniques for voice.
However, very high quality codecs are available that can encode voice using less than one-
tenth of the bandwidth of PCM. However, the circuit switched network blindly allocates 64
35 Kbps of bandwidth for a call, end-to-end, even if only one-tenth of the bandwidth is
utilized. Furthermore, each circuit generally only connects two parties. Without the
assistance of conference bridging equipment, an entire circuit to a phone is occupied in
connecting one party to another party. Circuit switching has no multicast or multipoint
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communication capabilities, except when used in combination with conference bridging
equipment.
Other reasons for long call setup time include the different signaling networks
involved in call setup and the sheer distance causing propagation delay. Analog signaling
5 from an end station to a CO on a low bandwidth link can also delay call setup. Also, the
call setup data travels great distances on signaling networks that are not always transmitting
data at the speed of light. When the calls are international, the variations in signaling
networks grows, the equipment handling call setup is usually not as fast as modem setup
and the distances are even greater, so call setup slows down even more. Further, in general,
connection-oriented virtual or physical circuit setup, such as circuit switching, requires
more time at connection setup time than comparable connectionless techniques due to the
end-to-end handshaking required between the conversing parties.
Message switching is another switching strategy that has been considered. With
this form of switching, no physical path is established in advance between the sender and
receiver; instead, whenever the sender has a block of data to be sent, it is stored at the first
switching office and retransmitted to the next switching point after error inspection.
Message switching places no limit on block size, thus requiring that switching stations must
have disks to buffer long blocks of data; also, a single block may tie up a line for many
minutes, rendering message switching useless for interactive traffic.
Packet switched networks, which predominate the computer network industry,
divide data into small pieces called packets that are multiplexed onto high capacity
intermachine connections. A packet is a block of data with a strict upper limit on block size
that carries with it sufficient identification necessary for delivery to its destination. Such
packets usually contain several hundred bytes of data and occupy a given transmission line
for only a few tens of milliseconds. Delivery of a larger file via packet switching requires
that it be broken into many small packets and sent one at a time from one machine to the
other. The network hardware delivers these packets to the specified destination, where the
software reassembles them into a single file.
Packet switching is used by virtually all computer interconnections because of its
efficiency in data transmissions. Packet switched networks use bandwidth on a circuit as
needed, allowing other transmissions to pass through the lines in the interim. Furthermore,
throughput is increased by the fact that a router or switching office can quickly forward to
the next stop any given packet, or portion of a large file, that it receives, long before the
other packets of the file have arrived. In message switching, the intermediate router would
have to wait until the entire block was delivered before forwarding. Today, message
switching is no longer used in computer networks because of the superiority of packet
switching.
To better understand the Internet, a comparison to the telephone system is helpfiil.
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The public switched telephone network was designed with the goal of transmitting human
voice, in a more or less recognizable form. Their suitability has been improved for
computer-to-computer communications but remains far from optimal. A cable running
between two computers can transfer data at speeds in the hundreds of megabits, and even
5 gigabits per second. A poor error rate at these speeds would be only one error per day. In
contrast, a dial-up line, using standard telephone lines, has a maximum data rate in the
thousands of bits per second, and a much higher error rate. In fact, the combined bit rate
times error rate performance of a local cable could be 1 1 orders of magnitude better than a
voice-grade telephone line. New technology, however, has been improving the
10 performance of these lines.
The Internet is composed of a great number of individual networks, together
forming a global connection of thousands of computer systems. After understanding that
machines are connected to the individual networks, we can investigate how the networks
are connected together to form an internetwork, or an internet. At this point, internet
15 gateways and internet routers come into play.
In terms of architecture, two given networks are connected by a computer that
attaches to both of them. Internet gateways and routers provide those links necessary to
send packets between networks and thus make connections possible. Without these links,
data communication through the Internet would not be possible, as the information either
20 would not reach its destination or would be incomprehensible upon arrival. A gateway may
be thought of as an entrance to a communications network that performs code and protocol
conversion between two otherwise incompatible networks. For instance, gateways transfer
electronic mail and data files between networks over the internet.
IP Routers are also computers that connect networks and is a newer term preferred
25 by vendors. These routers must make decisions as to how to send the data packets it
receives to its destination through the use of continually updated routing tables. By
analyzing the destination network address of the packets, routers make these decisions.
Importantly, a router does not generally need to decide which host or end user will receive a
packet; instead, a router seeks only the destination network and thus keeps track of
30 information sufficient to get to the appropriate network, not necessarily the appropriate end
user. Therefore, routers do not need to be huge supercomputing systems and are often just
machines with small main memories and little disk storage. The distinction between
gateways and routers is slight, and current usage blurs the line to the extent that the two
terms are often used interchangeably. In current terminology, a gateway moves data
35 between different protocols and a router moves data between different networks. So a
system that moves mail between TCP/IP and OSI is a gateway, but a traditional IP gateway
(that connects different networks) is a router.
Now, it is usefiil to take a simplified look at routing in traditional telephone
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systems. The telephone system is organized as a highly redundant, multilevel hierarchy.
Each telephone has two copper wires coming out of it that go directly to the telephone
company's nearest end office, also called a local central office. The distance is typically
less than 10 km; in the U.S. alone, there are approximately 20,000 end offices. The
concatenation of the area code and the first three digits of the telephone number uniquely
specify an end office and help dictate the rate and billing structure.
The two-wire connections between each subscriber's telephone and the end office
are called local loops. If a subscriber attached to a given end office calls another subscriber
attached to the same end office, the switching mechanism within the office sets up a direct
electrical connection between the two local loops. This connection remains intact for the
duration of the call, due to the circuit switching techniques discussed earlier.
If the subscriber attached to a given end office calls a user attached to a different
end office, more work has to be done in the routing of the call. First, each end office has a
number of outgoing lines to one or more nearby switching centers, called toll offices.
These lines are called toll connecting trunks. If both the caller's and the receiver's end
offices happen to have a toll connecting trunk to the same toll office, the connection may be
established within the toll office. If the caller and the recipient of the call do not share a
toll office, then the path will have to be established somewhere higher up in the hierarchy.
There are sectional and regional offices that form a network by which the toll offices are
connected. The toll, sectional, and regional exchanges communicate with each other via
high bandwidth inter-toll trunks. The number of different kinds of switching centers and
their specific topology varies from country to country, depending on its telephone density.
Using Network Level Communication for Smooth User Connection
In addition to the data transfer functionality of the Internet, TCP/IP also seeks to
convince users that the Internet is a solitary, virtual network. TCP/IP accomplishes this by
providing a universal interconnection among machines, independent of the specific
networks to which hosts and end users attach. Besides router interconnection of physical
networks, software is required on each host to allow application programs to use the
Internet as if it were a single, real physical network.
The basis of Internet service is an underlying, connectionless packet delivery
system run by routers, with the basic unit of transfer being the packet. In internets running
TCP/IP, such as the Internet backbone, these packets are called datagrams. This section
will briefly discuss how these datagrams are routed through the Internet.
In packet switching systems, routing is the process of choosing a path over which to
send packets. As mentioned before, routers are the computers that make such choices. For
the routing of information from one host within a network to another host on the same
network, the datagrams that are sent do not actually reach the Internet backbone. This is an
example of internal routing, which is completely self-contained within the network. The
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machines outside of the network do not participate in these internal routing decisions.
At this stage, a distinction should be made between direct delivery and indirect
delivery. Direct delivery is the transmission of a datagram from one machine across a
single physical network to another machine on the same physical network. Such deliveries
5 do not involve routers. Instead, the sender encapsulates the datagram in a physical frame,
addresses it, and then sends the frame directly to the destination machine.
Indirect delivery is necessary when more than one physical network is involved, in
particular when a machine on one network wishes to communicate with a machine on
another network. This type of communication is what we think of when we speak of
10 routing information across the Internet backbone. In indirect delivery, routers are required.
To send a datagram, the sender must identify a router to which the datagram can be sent,
and the router then forwards the datagram towards the destination network. Recall that
routers generally do not keep track of the individual host addresses (of which there are
millions), but rather just keeps track of physical networks (of which there are thousands).
15 Essentially, routers in the Internet form a cooperative, interconnected structure, and
datagrams pass from router to router across the backbone until they reach a router that can
deliver the datagram directly.
The changing face of the internet world causes a steady inflow of new systems and
technology. The following three developments, each likely to become more prevalent in the
20 near future, serve as an introduction to the technological arena.
Asynchronous Transfer Mode (ATM) is a networking technology using a high-
speed, connection-oriented system for both local area and wide area networks. ATM
networks require modem hardware including:
1) High speed switches that can operate at gigabit (trillion bit) per
25 second speeds to handle the traffic from many computers.
2) Optical fibers (versus copper wires) that provide high data transfer
rates, with host-to- ATM switch connections running at 100 or 155 Mbps (million
bits per second).
3) Fixed size cells, each of which includes 53 bytes.
30 ATM incorporates features of both packet switching and circuit switching, as it is
designed to carry voice, video, and television signals in addition to data. Pure packet
switching technology is not conducive to carrying voice transmissions because such
transfers demand more stable bandwidth.
Frame relay systems use packet switching techniques, but are more efficient than
35 traditional systems. This efficiency is partly due to the fact that they perform less error
checking than traditional X.25 packet-switching services. In fact, many intermediate nodes
do little or no error checking at all and only deal with routing, leaving the error checking to
the higher layers of the system. With the greater reliability of today's transmissions, much
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of the error checking previously performed has become unnecessary. Thus, frame relay
offers increased performance compared to traditional systems.
An Integrated Services Digital Network is an "international telecommunications
standard for transmitting voice, video, and data over digital lines," most commonly running
at 64 kilobits per second. The traditional phone network runs voice at only 4 kilobits per
second. To adopt ISDN, an end user or company must upgrade to ISDN terminal
equipment, central office hardware, and central office software. The ostensible goals of
ISDN include the following:
1) To provide an internationally accepted standard for voice, data and
An ISP is composed of several disparate systems. As ISP integration proceeds,
formerly independent systems now become part of one larger whole with concomitant
increases in the level of analysis, testing, scheduling, and training in all disciplines of the
ISP.
ATM (asynchronous transfer mode) pushes network control to the periphery of the
network, obviating the trunk and switching models of traditional, circuit-based telephony.
It is expected to be deployed widely to accommodate these high bandwidth services.
WAF supports a general purpose foundation for secure transaction management,
including usage control, auditing, reporting, and/or payment. This general purpose
foundation is called "WAF Functions" (" WAFFs"). WAF also supports a collection of
"atomic" application elements (e.g., load modules) that can be selectively aggregated
together to form various WAFF capabilities called control methods and which serve as
WAFF applications and operating system functions. When a host operating environment of
an electronic appliance includes WAFF capabilities, it is called a "Rights Operating
System" (ROS). WAFF load modules, associated data, and methods form a body of
information that for the purposes of the present invention are called "control information."
WAFF control information may be specifically associated with one or more pieces of
electronic content and/or it may be employed as a general component of the operating
system capabilities of a WAF installation.
WAFF transaction control elements reflect and enact content specific and/or more
generalized administrative (for example, general operating system) control information.
WAFF capabilities which can generally take the form of applications (application models)
that have more or less configurability which can be shaped by WAF participants, through
the use, for example, of WAF templates, to employ specific capabilities, along, for
example, with capability parameter data to reflect the elements of one or more express
signaling;
2)
3)
4)
To make all transmission circuits end-to-end digital;
To adopt a standard out-of-band signaling system; and
To bring significantly more bandwidth to the desktop.
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electronic agreements between WAF participants in regards to the use of electronic content
such as commercially distributed products. These control capabilities manage the use of,
andVor auditing of use of, electronic content, as well as reporting information based upon
content use, and any payment for said use. WAFF capabilities may "evolve" to reflect the
5 requirements of one or more successive parties who receive or otherwise contribute to a
given set of control information. Frequently, for a WAF application for a given content
model (such as distribution of entertainment on CD-ROM, content delivery from an
Internet repository, or electronic catalog shopping and advertising, or some combination of
the above) participants would be able to securely select from amongst available, alternative
10 control methods and apply related parameter data, wherein such selection of control method
and/or submission of data would constitute their "contribution" of control information.
Alternatively, or in addition, certain control methods that have been expressly certified as
securely interoperable and compatible with said application may be independently
submitted by a participant as part of such a contribution. In the most general example, a
15 generally certified load module (certified for a given WAF arrangement and/or content
class) may be used with many or any WAF application that operates in nodes of said
arrangement. These parties, to the extent they are allowed, can independently and securely
add, delete, and/or otherwise modify the specification of load modules and methods, as well
as add, delete or otherwise modify related information.
20 Normally the party who creates a WAF content container defines the general nature
of the WAFF capabilities that will and/or may apply to certain electronic information. A
WAF content container is an object that contains both content (for example, commercially
distributed electronic information products such as computer software programs, movies,
electronic publications or reference materials, etc.) and certain control information related
25 to the use of the object's content. A creating party may make a WAF container available to
other parties. Control information delivered by, and/or otherwise available for use with,
WAF content containers comprise (for commercial content distribution purposes) WAFF
control capabilities (and any associated parameter data) for electronic content. These
capabilities may constitute one or more "proposed" electronic agreements (and/or
30 agreement functions available for selection and/or use with parameter data) that manage the
use and/or the consequences of use of such content and which can enact the terms and
conditions of agreements involving multiple parties and their various rights and obligations.
A WAF electronic agreement may be explicit, through a user interface acceptance
by one or more parties, for example by a "junior" party who has received control
35 information from a "senior" party, or it may be a process amongst equal parties who
individually assert their agreement. Agreement may also result from an automated
electronic process during which terms and conditions are "evaluated" by certain WAF
participant control information that assesses whether certain other electronic terms and
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conditions attached to content and/or submitted by another party are acceptable (do not
violate acceptable control information criteria). Such an evaluation process may be quite
simple, for example a comparison to ensure compatibility between a portion of, or all
senior, control terms and conditions in a table of terms and conditions and the submitted
5 control information of a subsequent participant in a pathway of content control information
handling, or it may be a more elaborate process that evaluates the potential outcome of,
and/or implements a negotiation process between, two or more sets of control information
submitted by two or more parties. WAF also accommodates a semi-automated process
during which one or more WAF participants directly, through user interface means, resolve
10 "disagreements" between control information sets by accepting and/or proposing certain
control information that may be acceptable to control information representing one or more
other parties interests and/or responds to certain user interface queries for selection of
certain alternative choices and/or for certain parameter information, the responses being
adopted if acceptable to applicable senior control information.
15 When another party (other than the first applier of rules), perhaps through a
negotiation process, accepts, and/or adds to and/or otherwise modifies, "in place" content
control information, a WAF agreement between two or more parties related to the use of
such electronic content may be created (so long as any modifications are consistent with
senior control information). Acceptance of terms and conditions related to certain electronic
20 content may be direct and express, or it may be implicit as a result of use of content
(depending, for example, on legal requirements, previous exposure to such terms and
conditions, and requirements of in place control information).
WAFF capabilities may be employed, and a WAF agreement may be entered into,
by a plurality of parties without the WAFF capabilities being directly associated with the
25 controlling of certain, specific electronic information. For example, certain one or more
WAFF capabilities may be present at a WAF installation, and certain WAF agreements may
have been entered into during the registration process for a content distribution application,
to be used by such installation for securely controlling WAF content usage, auditing,
reporting and/or payment. Similarly, a specific WAF participant may enter into a WAF user
30 agreement with a WAF content or electronic appliance provider when the user and/or her
appliance register with such provider as a WAF installation and/or user. In such events,
WAFF in place control information available to the user WAF installation may require that
certain WAFF methods are employed, for example in a certain sequence, in order to be able
to use all and/or certain classes, of electronic content and/or WAF applications.
35 WAF ensures that certain prerequisites necessary for a given transaction to occur
are met. This includes the secure execution of any required load modules and the
availability of any required, associated data. For example, required load modules and data
(e.g. in the form of a method) might specify that sufficient credit from an authorized source
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must be confirmed as available. It might further require certain one or more load modules
execute as processes at an appropriate time to ensure that such credit will be used in order
to pay for user use of the content. A certain content provider might, for example, require
metering the number of copies made for distribution to employees of a given software
5 program (a portion of the program might be maintained in encrypted form and require the
presence of a WAF installation to run). This would require the execution of a metering
method for copying of the property each time a copy was made for another employee. This
same provider might also charge fees based on the total number of different properties
licensed from them by the user and a metering history of their licensing of properties might
10 be required to maintain this information.
COMMERCE-RELATED WEB APPLICATION SERVICES
One embodiment of the present invention, as shown in Figure 15, is provided for
affording a combination of commerce-related web application services. Various features
are included such as allowing purchase of products and services via a displayed catalog in
15 operation 1500. As an option, a virtual shopping cart environment may be provided.
Further, in operations 1502 and 1504, data, i.e. specifications, details, etc., relating to the
products and services are displayed along with a comparison between different products
and services. Data relating to needs of a user may also be received for the purpose of
outputting a recommendation of the products and services based on the inputted needs. See
20 operation 1506. Optionally, features of the products and services may be selected in
operation 1508 based on user profile in order to configure a specifically tailored product or
service. Alternatively, features of the products and services may be listed in order to allow
the user to configure a specifically tailored product or service. Operation 1510 allows one
or more of the products or services to be advertised. Yet another aspect of the present
25 invention includes outputting an estimate relating to a price and/or availability of the
products and services. Note operation 1512. Further, in operations 1514 and 1516, an
order for the products and services may be received and processed, after which a tax and a
shipping fee are calculated. A status of delivery for one or more of the ordered products
and services may be provided in operation 1518.
30 Optionally, the displayed catalog may be customized based upon the user profile.
Further, the data relating to at least one of the products and services may include a link to
related data. The comparison between different products and services could include a
comparison to a competitor's product. Alternatively, the comparison between different
products and services could include identification of at least one advantage of the at least
35 one of products and services. Optionally, the recommendation of at least one of the
products and services includes a financial analysis of at least one of the products and
services. The features of at least one of the products and services may be generated by a
product configuration. The advertising could include customized advertising based upon
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the user profile. The step of calculating at least one of the tax and the shipping fee may
further include calculating a plurality of taxes and shipping fees applicable to international
transactions. These and other options will be discussed in more detail below.
Through use of WAF's control system, traditional content providers and users can
create electronic relationships that reflect traditional, non-electronic relationships. They
can shape and modify commercial relationships to accommodate the evolving needs of, and
agreements among, themselves. WAF does not require electronic content providers and
users to modify their business practices and personal preferences to conform to a metering
and control application program that supports limited, largely fixed functionality.
Furthermore, WAF permits participants to develop business models not feasible with non-
electronic commerce, for example, involving detailed reporting of content usage
information, large numbers of distinct transactions at hitherto infeasibly low price points,
"pass-along" control information that is enforced without involvement or advance
knowledge of the participants, etc.
The present invention allows content providers and users to formulate their
transaction environment to accommodate:
(1) desired content models, content control models, and content usage information
pathways,
(2) a complete range of electronic media and distribution means,
(3) a broad range of pricing, payment, and auditing strategies,
(4) very flexible privacy and/or reporting models,
(5) practical and effective security architectures, and
(6) other administrative procedures that together with steps (1) through (5) can enable most
"real world" electronic commerce and data security models, including models unique to the
electronic world.
WAF's transaction management capabilities can enforce:
(1) privacy rights of users related to information regarding their usage of electronic
information and/or appliances,
(2) societal policy such as laws that protect rights of content users or require the collection
of taxes derived from electronic transaction revenue, and
(3) the proprietary and/or other rights of parties related to ownership of, distribution of,
and/or other commercial rights related to, electronic information.
WAF can support "real" commerce in an electronic form, that is the progressive
creation of commercial relationships that form, over time, a network of interrelated
agreements representing a value chain business model. This is achieved in part by enabling
content control information to develop through the interaction of (negotiation between)
securely created and independently submitted sets of content and/or appliance control
information. Different sets of content and/or appliance control information can be
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submitted by different parties in an electronic business value chain enabled by the present
invention. These parties create control information sets through the use of their respective
WAF installations. Independently, securely deliverable, component based control
information allow^s efficient interaction among control information sets supplied by
5 different parties.
WAF permits multiple, separate electronic arrangements to be formed between
subsets of parties in a WAF supported electronic value chain model. These multiple
agreements together comprise a WAF value chain "extended" agreement. WAF allows such
constituent electronic agreements, and therefore overall WAF extended agreements, to
10 evolve and reshape over time as additional WAF participants become involved in WAF
content and/or appliance control information handling. WAF electronic agreements may
also be extended as new control information is submitted by existing participants. With
WAF, electronic commerce participants are free to structure and restructure their electronic
commerce business activities and relationships. As a result, the present invention allows a
15 competitive electronic commerce marketplace to develop since the use of WAF enables
different, widely varying business models using the same or shared content.
A significant facet of the present invention's ability to broadly support electronic
commerce is its ability to securely manage independently delivered WAF component
objects containing control information (normally in the form of WAF objects containing
20 one or more methods, data, or load module WAF components). This independently
delivered control information can be integrated with senior and other pre-existing content
control information to securely form derived control information using the negotiation
mechanisms of the present invention. All requirements specified by this derived control
information must be satisfied before WAF controlled content can be accessed or otherwise
25 used. This means that, for example, all load modules and any mediating data which are
listed by the derived control information as required must be available and securely perform
their required function. In combination with other aspects of the present invention, securely,
independently delivered control components allow electronic commerce participants to
freely stipulate their business requirements and trade offs. As a result, much as with
30 traditional, non-electronic commerce, the present invention allows electronic commerce
(through a progressive stipulation of various control requirements by WAF participants) to
evolve into forms of business that are the most efficient, competitive and usefiil.
WAF provides capabilities that rationalize the support of electronic commerce and
electronic transaction management. This rationalization stems from the reusability of
35 control structures and user interfaces for a wide variety of transaction management related
activities. As a result, content usage control, data security, information auditing, and
electronic financial activities, can be supported with tools that are reusable, convenient,
consistent, and familiar. In addition, a rational approach — a transaction/distribution control
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standard — allows all participants in WAF the same foundation set of hardware control and
security, authoring, administration, and management tools to support widely varying types
of information, business market model, and/or personal objectives.
Employing WAF as a general purpose electronic transaction/distribution control
5 system allows users to maintain a single transaction management control arrangement on
each of their computers, networks, communication nodes, and/or other electronic
appliances. Such a general purpose system can serve the needs of many electronic
transaction management applications without requiring distinct, different installations for
different purposes. As a result, users of WAF can avoid the confusion and expense and
10 other inefficiencies of different, limited purpose transaction control applications for each
different content and/or business model. For example, WAF allows content creators to use
the same WAF foundation control arrangement for both content authoring and for licensing
content from other content creators for inclusion into their products or for other use.
Clearinghouses, distributors, content creators, and other WAF users can all interact, both
15 with the applications running on their WAF installations, and with each other, in an entirely
consistent manner, using and reusing (largely transparently) the same distributed tools,
mechanisms, and consistent user interfaces, regardless of the type of WAF activity.
WAF participants in a commercial value chain can be "commercially" confident
(that is, sufficiently confident for commercial purposes) that the direct (constituent) and/or
20 "extended" electronic agreements they entered into through the use of WAF can be
enforced reliably. These agreements may have both "dynamic" transaction management
related aspects, such as content usage control information enforced through budgeting,
metering, and/or reporting of electronic information and/or appliance use, and/or they may
include "static" electronic assertions, such as an end-user using the system to assert his or
25 her agreement to pay for services, not to pass to unauthorized parties electronic information
derived from usage of content or systems, and/or agreeing to observe copyright laws. Not
only can electronically reported transaction related information be trusted under the present
invention, but payment may be automated by the passing of payment tokens through a
pathway of payment (which may or may not be the same as a pathway for reporting). Such
30 payment can be contained within a WAF container created automatically by a WAF
installation in response to control information (located, in the preferred embodiment, in one
or more permissions records) stipulating the "withdrawal" of credit or electronic currency
(such as tokens) from an electronic account (for example, an account securely maintained
by a user's WAF installation secure subsystem) based upon usage of WAF controlled
35 electronic content and/or appliances (such as governments, financial credit providers, and
users).
WAF allows the needs of electronic commerce participants to be served and it can
bind such participants together in a universe wide, trusted commercial network that can be
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secure enough to support very large amounts of commerce. WAF's security and metering
secure subsystem core will be present at all physical locations where WAF related content
is (a) assigned usage related control information (rules and mediating data), and/or (b) used.
This core can perform security and auditing functions (including metering) that operate
5 within a "virtual black box," a collection of distributed, very secure WAF related hardware
instances that are interconnected by secured information exchange (for example,
telecommunication) processes and distributed database means. WAF further includes highly
configurable transaction operating system technology, one or more associated libraries of
load modules along with affiliated data, WAF related administration, data preparation, and
10 analysis applications, as well as system software designed to enable WAF integration into
host environments and applications. WAF's usage control information, for example, provide
for property content and/or appliance related: usage authorization, usage auditing (which
may include audit reduction), usage billing, usage payment, privacy filtering, reporting, and
security related communication and encryption techniques.
15 WAF's fundamental configurability will allow a broad range of competitive
electronic commerce business models to flourish. It allows business models to be shaped to
maximize revenues sources, end-user product value, and operating efficiencies. WAF can
be employed to support multiple, differing models, take advantage of new revenue
opportunities, and deliver product configurations most desired by users. Electronic
20 commerce technologies that do not, as the present invention does:
support a broad range of possible, complementary revenue activities, offer a
flexible array of content usage features most desired by customers, and exploit
opportunities for operating efficiencies, will result in products that are often intrinsically
more costly and less appealing and therefore less competitive in the marketplace. Some of
25 the key factors contributing to the configurability intrinsic to the present invention include:
(a) integration into the fundamental control environment of a broad range of
electronic appliances through portable API and programming language tools that efficiently
support merging of control and auditing capabilities in nearly any electronic appliance
environment while maintaining overall system security;
30 (b) modular data structures;
(c) generic content model;
(d) general modularity and independence of foundation architectural components;
(e) modular security structures;
(f) variable length and multiple branching chains of control; and
35 (g) independent, modular control structures in the form of executable load modules
that can be maintained in one or more libraries, and assembled into control
methods and models, and where such model control schemes can "evolve" as
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control information passes through the WAF installations of participants of a
pathway of WAF content control information handling.
CATALOG CAPABILITIES
□Displays linkable pictures and text
5 nCustomizes rendering based on user preferences
□Provides multiple ways to traverse the catalog (ease of navigation)
□Shows Quick-buy link throughout catalog
□Incorporates multiple languages and localized content
□Integrates to centralized publishing for fresh content
10 □Displays guest view of catalog (default set)
□Creates personal catalog
Referring to operation 1500 of Figure 15, one embodiment of the electronic
commerce component of the present invention is provided for allowing purchase of
products and services via a display catalog. The display catalog may display linkable
15 pictures, such as visual representations of products for sale. The display catalog may also
display linkable text which could represent a product or family of products, as well as
services offered. Other linkable text or pictures could be implemented to provide multiple
ways to traverse the display catalog to ease navigation along a page or between various
pages. An exemplary link would include at least one textual or picture link displayed on
20 each page of the display catalog that would permit a user to purchase the good or service
shown on that page or associated with a particular good or service displayed on the page.
Such link may resemble a shopping cart.
Preferably, the default setting of the display catalog would be preset, but the display
format of the display catalog would be customizable based on user preference or
25 automatically based on user profile. For example, the user may be permitted to customize
the format of the display catalog for his or her particular session, or the customizations may
be saved so that the user's personalized settings are used each time the display catalog is
opened by that particular user. The display format may also be customized to display
localized content, such as by being based on the location of the user. Text may also be
30 displayed in a language selected by the viewer.
PRODUCT DETAILS AND SPECIFICATIONS
□Links to all related documentation (datasheets, whitepapers)
□Drills-down for additional detail
□Integrates to centralized publishing for integrity
35 □Downloads information
□Tracks downloads for proactive notification (spec updates)
As shown in Figure 15, operation 1502 outputs data relating to at least one of the
products and services. Such data may include details of the products or services as well as
specifications. The data and comparisons may be accessed through linking of pages
40 containing the data with linkable pictures and text. For example, a more detailed picture of
a particular product illustrating its most salient features may be linked to a smaller or more
generic picture of the product on a page displaying various similar products. More links
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may be used on the page displaying the data to obtain additional detail.
Optionally, the data may be integrated to centralized publishing for integrity. In
such case, updated data would be downloaded to ensure the correctness and currentness of
the information. A proactive notification could also be made near the time of download,
5 such as when updates to a specification are sent or received,
SHOPPING CART
□Stores items selected throughout shopping experience
□Saves shopping carts to be retrieved at later point
□Displays quantity, price, shipping info, total price
10 aModifies order information (add quantities, delete items)
□Incorporates multiple languages and currency
□Accessible easily throughout catalog
As shown in Figure 16, one embodiment of the electronic commerce component of
the present invention is provided for facilitating a virtual shopping transaction. First, a
15 plurality of items, i.e. products or services, are selected from a database and displayed for
purchase in operation 1600. Preferably, the items are displayed in an electronic catalog
format. Next, in operation 1602, a user is allowed to select a predetermined set of the items
for purchase. For example, each of the items could include a liked picture or text, which a
user would then simply click on with a mouse pointer to select the items. Other options
20 include scrollable menus, etc. In operation 1604, a payment is then accepted in exchange
for the predetermined set of items. Such predetermined set of items is then stored in
operation 1606, thereby allowing the user to collectively select the predetermined set of
items at a later time without having to select each of the items individually. Note operation
1608. The selected items are preferably stored in a database unique to the user. The set of
25 items selected during each shopping session should be stored in a separate listing or file so
that the user can individually select particular sets of items. Optionally, the user may be
allowed to name each stored set of items for easier identification later. The user may also
be permitted to rate or rank the items of a selected set for purposes of refreshing the user's
memory when the user later retrieves the set.
30 Ideally, a quantity and a price of each of the items that is selected is displayed
during use of the present invention. Also displayed is a total price of the items that are
selected along with shipping information. During use, the user is allowed to modify the
predetermined set of items that are selected. Further, several sets of items may be
separately stored for later review and modification. Retrieval of the set or sets of items
35 should be easily accessible throughout the display catalog, such as through links.
Optionally, multiple languages may be incorporated into the present invention and
payment for the predetermined set of items may be accepted in any one of a plurality of
currencies such as electronic and foreign.
Recently, an online shopping system which allows examination, selection and order
40 of items through a computer has been put into practice. In such an online shopping system,
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in order to supplement a disadvantage by a gap from ordinary shopping caused by the use of
electronic means such as not capable of directly touching the item and not capable of
getting assistance of a real salesman, various devices for a user interface have been made.
As one of such devices, a so-called shopping basket function which has some analogy with
5 shopping basket used in a shop such as supermarket is proposed. In this function, items on
the online shopping are temporarily added to a purchase list and a process of order and
purchase is conducted when all items to be purchased are registered on the list, as items to
be purchased in the supermarket are once put into a shopping basket and lastly the account
is settled at a counter. In this manner, by preparing the purchase list to order a plurality of
10 items one time, a time required to purchase may be substantially saved. Further, the
consumer may prevent the failure of shopping and stop the purchase of unnecessary items
by checking the list once before the purchase. Further, because of feel of easiness that the
items once added on the purchase list may be finally changed in any way before the
purchase, there is a psychological effect that the consumer may proceed shopping readily.
15 The elements which constitute the shopping basket are a shopping basket main
body (purchase list) and a function for taking in and out items for the shopping basket. As
functions associated with the shopping basket, there are a function to take the items into the
shopping basket (add to the purchase list), a function to check the contents of the shopping
basket (display the purchase list), a function to return the item in the shopping basket
20 (change the purchase list) and a function to purchase the items in the shopping basket.
However, for the function to purchase the items, only the order is accepted because the
delivery of the items is made later except a portion of items which can be downloaded as
digital data and the shopping is not completed until the items are received and the account
is settled.
25 As one of methods for proving the shopping basket to the consumer, there is a
method of displaying a button for the shopping basket on the same display page as a catalog
which the consumer watches as it is realized in the online shopping system mainly on the
World Wide Web. As another method of proving the shopping basket, there is a method for
separately displaying an item Error! Bookmark not defined.catalog area and a shopping
30 basket area. Such a function is used in the shopping system provided by a CD-ROM.
A main stage of the online shopping is an item catalog screen on which information
on the items is provided. The consumer examines the item on the screen and if he or she
likes it, he or she takes it into the shopping basket. During the shopping, he or she examines
the content of the shopping basket as required to check the item scheduled to purchase and
35 the pay amount of the items. Accordingly, it is not necessary to always display the purchase
list on the screen, but the functions to access to the shopping basket for taking in the items
and to display the contents should be available to the consumer any time during the
shopping.
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As described above, when the button for the shopping basket is on the same page as
the item catalog, the entire length of the page changes depending on the amount of item
data described on the catalog, the page may not be accommodated on the display screen. In
such a case, it is necessary for the consumer to scroll the page to press the button to display
5 the button for the shopping basket in order to display the button. The same is true when the
button is located at the top end of the page, and when the item of interest is at a lower
portion of the page, the screen must be scrolled upward in order to take the item into the
shopping basket after the confirmation. The state in which the necessary fiinction is not
displayed without scrolling not only imposes a burden to the operation of scroll, and when
10 the consumer first uses the system, the operation to be conducted next is hard to understand
and cause anxiety to the user. On the other hand, in the method of always displaying the
button in a specified area by dividing the screen, the above problem is solved.
Further, as a feature of an application on the Internet such as the World Wide Web,
high freedom of both information provider and user is pointed out. For example, the user
15 cannot previously limit the length of one page of the contents prepared by the information
provider. The environment of the user such as a resolution of the display, a type of browser
software used and the setting of font varies from user to user and the information provider
cannot know it. As a result, however the information provider devises the amount of
information and the layout described on the page to accommodate it in the screen, the
20 intended effect is not always achieved depending on the environment of the user. In the
method of placing the button for the shopping basket on the same page as the Error!
Bookmark not defined.catalog, some degree of scrolling is unavoidable. On the other
hand, the method of dividing the screen and sharing the roles by the respective sub-areas
restricts the method for preparing the contents. It may be good that the user interface is
25 uniform in one online shop but when it is applied across a plurality of online shops of
various items and scales, free design cannot be conducted. This forces to the user a specific
environment such as to watch the window of the browser at a specified size and hence it
does not conform to the Internet.
In accordance with the present invention, an interface for providing the shopping
30 basket function is provided as a separate shopping basket window from a catalog window
on which online shop item data is displayed. The shopping basket window is displayed on
the catalog window and a display position is moved in linkage with the movement of a
mouse pointer. The shopping basket includes a list of items to be purchased which is a main
body of the shopping basket, a fiinction to add the item data to the list, and a fiinction to
35 change the item data registered in the list. In one embodiment of the present invention, the
shopping basket main body is not always displayed. Instead, an interface fiinction to display
the shopping basket contents on the screen is provided on the shopping basket window.
COMPARE PRODUCTS AND SERVICES
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□Compares your products and services to competitors
□Highlights advantages in across your products and services
One embodiment of the present invention provides for comparison shopping by
utilizing the customer's profile to prioritize the features of a group of similar, competing
5 products, as shown in operation 1504 of Figure 15. The competing products may or may
not have been manufactured by competing business entities. More detail is provided in
Figure 16A. First, in operation 1610, a customer's profile is developed. This profile may
be developed from many sources including customer input, customer buying habits,
customer income level, customer searching habits, customer profession, customer education
10 level, customer's purpose of the pending sale, customer's shopping habits, etc. Such
information may be input directly by the user, captured as a user uses the network, and may
be downloaded periodically from a user's system. Next, in operation 1611, a plurality of
items for purchase are displayed, from which the customer is allowed to select multiple,
similar items, i.e. products or services to compare in operation 1612. Then, after a set of
15 features of each item is determined in operation 1613, operation 1614 creates a hierarchy of
the features of the items selected in accordance with the customer's profile. For example,
as shown in Figure 16B, a comparison of features based on keywords taken fi-om the
customer's profile may be performed in operation 1621. The features would be
preassociated with feature keywords in operation 1620. When a keyword input by the user
20 matches a feature keyword, the feature is given priority in operation 1622. Features with
feature keywords having multiple matches are given highest priority and ranked according
to the number of matches in operation 1623. If no keywords match, the user's words could
be analyzed using a thesaurus to find kejword matches, but these would be given lower
priority in operation 1624. Then, in operation 1615 of Figure 16A, a comparison table is
25 presented with the features organized in a prioritized manner in accordance with the
hierarchy. A particular item may be chosen, and similar competing items would be
compared to it. For example, the prices of a service may be compared to the prices of other
similar services. The advantages of selected items could also be highlighted against similar
competing and noncompeting items.
30 NEEDS ASSESSMENT/BUYER ASSISTANT
□Interacts with users to understand their needs
□Provides solutions based on user needs (capacity, performance, cost)
□Saves solutions to be retrieved at later point
□Adds solutions to shopping cart
35 □Provides online ROI tool to guide selection process
□Provides web call-through for further user support
With reference now to operation 1506 of Figure 15, another embodiment of the
electronic commerce component of the present invention is provided for facilitating a
virtual shopping transaction by ascertaining needs of a user. A more detailed description is
40 shown in Figure 17. First, needs and requirements of a user are input by the user. Then the
needs and requirements are analyzed in operation 1702. Available products are reviewed in
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Figure 1704 and placed on a list from which one or more items will be selected based on
the user input. Next, in operation 1706, a solution is generated based on the requirements
of the user after which the solution is displayed, as indicated in operation 1708. Figure 17A
provides an example of operation 1706. The items would be preassociated with keywords in
5 operation 1720. In operation 1721, selection of items based on keyword taken from the
user input may be performed. When a keyword input by the user matches a keyword
associated with an item, the item is displayed in operation 1722. If no keywords match, the
user's words could be analyzed using a thesaurus to find keyword matches in operation
1723. A payment is then accepted in exchange for the solution in operation 1710 of Figure
10 17, as will be discussed in more detail below. It should be noted that in the present
description, the solution includes either a product or a service, or both.
As an option, the solution may be stored for allowing the purchase of the solution at
a later time. Further, the solution may be grouped with a plurality of items selected for
being purchased together. In the foregoing description, the needs of the user may refer to
15 parameters including either capacity, performance, or cost. It should be noted that the
needs of the user are assessed by receiving input from the user.
PRODUCT CONFIGURATOR
□Lists all the options related to a product or service
□Allows users to piece together a single product/service or set of
20 products/services
□Validates integrity of configurations and calculates prices/availability
□Only shows available options
□Adds configurations to shopping cart
□Saves configurations to be retrieved at later point
25 □Incorporates 3rd party products (partner products)
In still yet another embodiment, a method, system, and article of manufacture is
provided for allowing a user to customize an item for purchase in a virtual shopping
environment, as shown in Figure 15, operation 1508. Figure 18 provides more detail.
Referring to Figure 18, a plurality of items for purchase are first displayed in operation
30 1802, as discussed above. Each of the items includes a plurality of available features which
are displayed in operation 1803, preferably with the price of each feature, including cost for
adding the feature and cost savings for removing the feature. Next, a user is permitted to
select the available features of each of the items to be purchased, as indicated in operation
1804. For example, a user may indicate which features of the item the user wants to be
35 included with the item and which items the user wishes absent or removed. If the item is a
product, an illustration or picture of the product with only the selected features should be
made available so that the user can see the product in various configurations. As an option,
a total price and availability may be determined with respect to the selected items and the
selected features thereof for display purposes in operation 1806. Further, in operation
40 1808, payment is accepted in exchange for the selected items and the selected features
thereof It should be noted that in the foregoing description, the items each include either a
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product or a service or both, and may also include third party products and services.
While the available features which are displayed, the features of the items that are
unavailable are hidden. Further, the selected features are stored for allowing the user to
collectively select the selected features at a later time without having to select each of the
5 features individually.
The present invention provides a system and method for conducting commerce via
an electronic means, such as a computer network, cable television network, or direct dial
modem. Previous attempts to provide electronic commerce subsystems have been custom
tailored to an individual commerce offering, and have not been adaptable to be able to
10 provide a versatile system capable of supporting a wide range of providers of goods and
services.
To meet this need, several companies have developed computer architectures for
online electronic catalog sales using, for example, the Internet as a transport mechanism to
transmit data representing purchase requests between a proprietary browser and server
15 product pair.
For example, Netscape Communications uses its Navigator/Netsite World Wide
Web (WWW) browser/server pair. A buyer uses a Navigator to select a seller's Netsite
server (sort of an electronic storefront), which is in turn coupled to standard application
servers (back-end subsystems), e.g., a credit server or a member server for collecting
20 demographic information on customers. These servers contain the business rules defined by
the seller, e.g., what credit cards are accepted and what customer information is tracked
during each sale. Some of these servers are connected to external, third-party services, e.g.,
the credit server to an external credit card processing network or the member server to an
external demographics processing module. The actual applications e.g., on-line publishing
25 or catalog sales, are represented as extensions of the application servers. Equivalently, the
application servers are said to be instantiated in the applications. The net result of this
approach is that the business rules (from the application servers) are embedded into the
applications along with the application logic or presentation.
Another company. Open Market, is developing a similar electronic catalog system
30 consisting of a HyperText Markup Language (HTML) authoring tool (called Storebuilder),
and a server (called Webserver) connected to an integrated back-end commerce system
(called TransactionLink). This system appears to share similar characteristics and
disadvantages as the Netscape system.
Any of the foregoing types of browsers may employed to access various databases
35 via the Internet in order to conduct electronic commerce-related business. Typical database
or file-based shopping cart systems require that the user be uniquely identified in order to
associate particular data stored on the server with a particular user. This requires the user to
log-in or create an account, which is then stored in the server. Each subsequent request
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from the user must reference the unique identifier, either in the uniform resource locator
(URL) or as hidden data passed back through a form submission. Either of these approaches
require that the account or ID information of the user be stored on the remote server in the
network for some definite period of time. Usually, the user must keep track of the account
5 identifier in order that the prior session information can be retrieved.
It is desirable, to the extent possible, existing terminal hardware appropriately
adapted and modified to incorporate the principles of the present invention. Hardware
suitable for this purpose is sold by NCR. This equipment, a self-service terminal system
identified as model NCR 5682, incorporates the data gathering and transaction processing
10 capabilities of conventional automated teller machines with video, graphics, audio and
printer operations. Interactivity with the customer is governed by a software system through
the use, for example, of a keyboard or an infrared touch screen using prompts. Transactions
may be completed through the use of a credit card reader and a PIN number entering means.
In one example of a related system, insurance agents at remote office on-line
15 terminals communicate with a central processor which includes a data bank, storing data as
to risks to be insured, client information, insurance premium information and predetermined
text data for incorporation into insurance contracts. An agent at a terminal keys in
information regarding a risk and other data needed to write insurance for that risk. To assist
him, a "form" is displayed on his terminal by the central processor, and he merely enters the
20 pertinent information in the blanks provided. The information is correlated in the central
processor, from which a premium quotation is transmitted back and displayed at the agent's
terminal and in which a client data base is established with the information from the form.
Errors or omissions are detected and the agent or client is notified. If the policy is to be
written, a formal contract is printed under the control of the central processor and
25 electronically stored and displayed to underwriter personnel Concurrently the insurance
contract is mailed to the client. The underwriter can decide to cancel or alter the contract.
Alternatively, the underwriting function is carried out before the contract is printed and
mailed. In this system, the terminals operate on-line, underwriting is performed by a human
underwriter, and the insurance contract is printed remotely from the client and mailed to
30 him. The on-line terminals are not automatic self-service vending machines; the client
must deal with the company through agents.
In another example of a related system, a terminal includes a CPU and is coupled to
a memory unit which has data bases storing information. Certain elements are assigned
weights. The system is used by underwriters to assist them in performing their underwriting
35 functions.
Still yet another system is adapted for automatically dispensing information, goods
and services to a customer on a self-service basis including a central data processing center
in which information on services offered is stored. Self-service information sales terminals
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are remotely linked on-line to the central data processing center and are programmed to
gather information from prospective customers on goods and services desired, to transmit to
customers information on the desired goods or services from the central data processing
center, to take orders for goods or services from customers and transmit them for processing
5 to the central data processing center, to accept payment, and to deliver goods or services in
the form of documents to the customer when orders are completed. The central data
processing center is also remotely linked to institutions, such as insurance companies,
serviced by the system to keep the institution updated on completed sales of services
offered by that institution. As noted, the terminals in this system are on-line with the
10 central data processing center.
Another system is provided using self-service terminals for dispensing voice and
video information, printed documents, and goods and for accepting orders and payments
therefor for travel related services by currency or credit card. The self-service terminals
include a processor, printer, dispenser, data sources including a mass storage unit, a card
15 reader, a coin box, and a communication device for communicating with a remote service
center. The mass storage unit stores transitory information, such as flight schedules, ticket
prices, weather information and other information useful in the planning of a business trip
or vacation which is periodically updated via a communication link with the remote control
center. The self-service terminal normally operates off-line.
20 Payment for items purchased over the Internet is also a concern. Today,
approximately 350 billion coin and currency transactions occur between individuals and
institutions every year. The extensive use of coin and currency transactions has limited the
automation of individual transactions such as purchases, fares, and bank account deposits
and withdrawals. Individual cash transactions are burdened by the need to have the correct
25 amount of cash or providing change therefor. Furthermore, the handling and managing of
paper cash and coins is inconvenient, costly and time consuming for both individuals and
financial institutions.
Although checks may be written for any specific amount up to the amount available
in the account, checks have very limited transferability and must be supplied from a
30 physical inventory. Paper-based checking systems do not offer sufficient relief from the
limitations of cash transactions, sharing many of the inconveniences of handling currency
while adding the inherent delays associated with processing checks. To this end, economic
exchange has striven for greater convenience at a lower cost, while also seeking improved
security.
35 Automation has achieved some of these qualities for large transactions through
computerized electronic fiinds transfer ("EFT") systems. Electronic funds transfer is
essentially a process of value exchange achieved through the banking system's centralized
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computer transactions. EFT services are a transfer of payments utilizing electronic
"checks," which are used primarily by large commercial organizations.
The Automated Clearing House ("ACH") where a user can enter a pre-authorized
code and download information with billing occurring later, and a Point Of Sale (POS)
5 system where a transaction is processed by connecting with a central computer for
authorization for the transaction granted or denied immediately are examples of EFT
systems that are utilized by retail and commercial organizations.
Home Banking bill payment services are examples of an EFT system used by
individuals to make payments from a home computer. Currently, home banking initiatives
10 have found few customers. Of the banks that have offered services for payments, account
transfers and information over the telephone lines using personal computers, less than one
percent of the bank's customers are using the service. One reason that Home Banking has
not been a successful product is because the customer cannot deposit and withdraw money
as needed in this type of system.
15 Current EFT systems, credit cards, or debit cards, which are used in conjunction
with an on-line system to transfer money between accounts, such as between the account of
a merchant and that of a customer, cannot satisfy the need for an automated transaction
system providing an ergonomic interface.
To implement an automated, convenient transaction that can dispense some form of
20 economic value, there has been a trend towards off-line payments. For example, numerous
ideas have been proposed for some form of "electronic money" that can be used in cashless
payment transactions as alternatives to the traditional currency and check types of payment
systems.
The more well known techniques include magnetic stripe cards purchased for a
25 given amount and from which a prepaid value can be deducted for specific purposes. Upon
exhaustion of the economic value, the cards are thrown away. Other examples include
memory cards or so called smart cards which are capable of repetitively storing information
representing value that is likewise deducted for specific purposes.
It is desirable for a computer operated under the control of a merchant to obtain
30 information offered by a customer and transmitted by a computer operating under the
control of the customer over a publicly accessible packet-switched network (e.g., the
Internet) to the computer operating under the control of the merchant, without risking the
exposure of the information to interception by third parties that have access to the network,
and to assure that the information is from an authentic source. It is further desirable for the
35 merchant to transmit information, including a subset of the information provided by the
customer, over such a network to a payment gateway computer system that is designated, by
a bank or other financial institution that has the responsibility of providing payment on
behalf of the customer, to authorize a commercial transaction on behalf of such a financial
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institution, without the risk of exposing that information to interception by third parties.
Such institutions include, for example, financial institutions offering credit or debit card
services.
Such secure payment technologies include Secure Transaction Technology
5 ("STT"), Secure Electronic Payments Protocol ("SEPP"), Internet Keyed Payments ("iKP"),
Net Trust, and Cybercash Credit Payment Protocol. One of ordinary skill in the art readily
comprehends that any of the secure payment technologies can be substituted for the SET
protocol without undue experimentation. Such secure payment technologies require the
customer to operate software that is compliant with the secure payment technology,
10 interacting with third-party certification authorities, thereby allowing the customer to
transmit encoded information to a merchant, some of which may be decoded by the
merchant, and some which can be decoded only by a payment gateway specified by the
customer.
Another such attempt to provide such a secure transmission channel is a general-
15 purpose secure communication protocol such as Netscape, Inc.*s Secure Sockets Layer
(hereinafter "SSL")s as described in Freier, Karlton & Kocher (hereinafter "Freier"), The
SSL Protocol Version 3.0, March 1996, and hereby incorporated by reference. SSL
provides a means for secure transmission between two computers. SSL has the advantage
that it does not require special-purpose software to be installed on the customer's computer
20 because it is already incorporated into widely available software that many people utilize as
their standard Internet access medium, and does not require that the customer interact with
any third-party certification authority. Instead, the support for SSL may be incorporated
into software already in use by the customer, e.g., the Netscape Navigator World Wide Web
browsing tool. However, although a computer on an SSL connection may initiate a second
25 SSL connection to another computer, a drawback to the SSL approach is each SSL
connection supports only a two-computer connection. Therefore, SSL does not provide a
mechanism for transmitting encoded information to a merchant for retransmission to a
payment gateway such that a subset of the information is readable to the payment gateway
but not to the merchant. Although SSL allows for robustly secure two-party data
30 transmission, it does not meet the ultimate need of the electronic commerce market for
robustly secure three-party data transmission. Other examples of general-purpose secure
communication protocols include Private Communications Technology ("PCT") fi*om
Microsoft, Inc., Secure Hyper-Text Transport Protocol ("SHTTP") ft^om Terisa Systems,
Shen, Kerberos, Photuris, Pretty Good Privacy ("PGP") which meets the IPSEC criteria.
35 One of ordinary skill in the art readily comprehends that any of the general-purpose secure
communication protocols can be substituted for the SSL transmission protocol without
undue experimentation.
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Banks desire an Internet payment solution that emulates existing Point of Sale
(POS) applications that are currently installed on their host computers, and require minimal
changes to their host systems. This is a critical requirement since any downtime for a banks
host computer system represents an enormous expense. Currently, VeriFone supports over
5 fourteen hundred different payment-related applications. The large number of applications
is necessary to accommodate a wide variety of host message formats, diverse methods for
communicating to a variety of hosts with different dial-up and direct-connect schemes, and
different certification around the world. In addition, there are a wide variety of business
processes that dictate how a Point of Sale (POS) terminal queries a user for data and
10 subsequently displays the data. Also, various vertical market segments, such as hotels, car
rental agencies, restaurants, retail sales, mail sales/telephone sales require interfaces for
different types of data to be entered, and provide different discount rates to merchants for
complying with various data types. Moreover, a plethora of report generation mechanisms
and formats are utilized by merchants that banking organizations work with.
15 Banks are unwilling to converge on "standards" since convergence would facilitate
switching from one acquiring bank to another by merchants. In general, banks desire to
increase the cost that a merchant incurs in switching from one acquiring bank to another
acquiring bank. This is accomplished by supplying a merchant with a terminal that only
communicates utilizing the bank's proprietary protocol, and by providing other value-added
20 services that a merchant may not be able to obtain at another bank.
Internet-based payment solutions require additional security measures that are not
found in conventional POS terminals. This additional requirement is necessitated because
Internet communication is done over publicly-accessible, unsecured communication line in
stark contrast to the private, secure, dedicated phone or leased line service utilized between
25 a traditional merchant and an acquiring bank. Thus, it is critical that any solution utilizing
the Internet for a communication backbone, employ some form of cryptography.
As discussed above, the current state-of-the-art in Internet based payment
processing is a protocol referred to as SET. Since the SET messages are uniform across all
implementations, banks cannot differentiate themselves in any reasonable way. Also, since
30 SET is not a proper superset of all protocols utilized today, there are bank protocols which
cannot be mapped or translated into SET because they require data elements for which SET
has no placeholder. Further, SET only handles the message types directly related to
authorizing and capturing credit card transactions and adjustments to these authorizations or
captures. In a typical POS terminal in the physical world, these messages comprise almost
35 the entire volume of the total number of messages between the merchant and the
authorizing bank, but only half of the total number of different message types. These
message types, which are used infrequently, but which are critical to the operation of the
POS terminal must be supported for proper transaction processing.
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With the increasing popularity of computer communications, many companies are
becoming interested in advertising and supporting their products using an online computer
service that can be accessed by customers. However, creating a large online computer
service is an extensive task. To develop a sophisticated online service, such as America
5 Online.RTM., CompuServe.RTM., Genie.RTM., or Prodigy .RTM., a company must have a
large mainframe computer and customized software. Developing the customized software
requires a competent programming staff and a good deal of time. Most companies do not
have the resources required to develop such systems, and thus cannot easily develop and
maintain an online presence.
10 One way a company can contact millions of potential customers is to use the global
Internet. The global Internet is a network of computer networks that links together millions
of computer systems using the well defined TCP/IP protocol.
A new method of distributing and viewing information known as the World-Wide
Web has recently become very popular on the global Internet. The World-Wide Web is a
15 collection of servers connected to the Internet that provide multi-media information to
users that request the information. The users access the information using client programs
called "browsers" to display the multi-media information.
World-Wide Web servers store multi-media information in a document format
known as HyperText Markup Language (HTML). The World-Wide Web servers distribute
20 the HTML formatted documents using a specific communication protocol known as the
HyperText Transfer Protocol (HTTP).
To access the multi-media information available on World-Wide Web servers, a
user runs a client browser program that accesses the HTML formatted documents stored on
the HTTP servers connected to the global Internet. The client browser program retrieves the
25 formatted information and provides the information in an appropriate manner to the user.
For example, the client browser program displays graphical image information as images on
the user's graphical display screen; plays video information as video animation on the user's
graphical display screen; displays text information as text on the user's screen; and plays
sound samples using the speakers on the user's computer system. "Mosaic", one popular
30 client browser program, is widely available to the users of the global Internet.
For a company that wishes to develop an online presence, creating a World-Wide
Web Server would provide a feature rich online service available to customers and clients.
A World-Wide Web Server can store images, text, animation, and sounds that provide
information about the company. Furthermore, World-Wide Web Servers can be
35 implemented on relatively simple computer systems, including personal computers.
Most World-Wide Web Servers are coupled to the global Internet. By deploying a
World-Wide Web Server on the global Internet a company would create online service that
is accessible to the millions of global Internet users.
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Alternatively, a company can deploy a HTTP server that is available to customers
through dial-up phone service. A dial-up HTTP server would be accessible to customers
and clients that do not have Internet access. Thus, by creating a simple HTTP server, any
organization or corporation can create an online presence.
5 However, quickly creating the HTML formatted documents required for a World-
Wide Web Server is not a trivial task. Moreover, the standard HTTP server software,
without any additional programming, is very limited. For example, without custom
extensions, an HTTP server cannot accommodate complex transactions between a user and
the HTTP server or integrate a database system into an online service. Although it is
10 possible to write custom extensions to the HTTP server software using a conventional
programming language, such custom extensions are difficult to write except by experienced
programmers. Thus, to be able to quickly deploy full-featured HTTP servers, it would be
desirable to have a development tool usable by non-programmers that allows a developer to
quickly and easily create a full-featured online service based upon the HTTP and HTML
15 standards.
Many programming development tools are known in the art. These programming
development tools range fi"om tools which are developed and marketed as general purpose
programming development tools to sophisticated special purpose development tools for
developing specific types of applications.
20 For example, the Information Exchange Facility (lEF) general development tool,
which is available from Texas Instruments, is used by professional programmers to develop
application programs. Essentially, lEF provides a facility that allows a programmer to write
"pseudo code" and lEF generates an intermediate source code program in a high level
programming language (such as COBOL or C code) based on the "pseudo code". lEF is an
25 example of what will be referred to herein as a "general purpose development tool" because
it allows development of programs for essentially any purpose or application dependent on
the input provided by the programmer.
In contrast to general purpose software development tools, many application
programs themselves provide special purpose "development tool" capability. An example is
30 the Paradox.TM. database program available fi-om Borland International of Scotts Valley,
Calif The Paradox.TM. database allows end users to develop sophisticated database
applications which would have been developed by professional programmers a few years
ago. The Paradox.TM. database is but one example of a special purpose development tool.
Another example of a special purpose development tool is the Application
35 Development Environment of Lotus Notes.TM. which is available from Lotus Development
Corporation of Cambridge, Mass. The Application Development Environment of Lotus
Notes provides features which are said to allow for rapid development of workgroup
applications such as sharing of documents between users over a network. Generally, Lotus
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Notes and, thus, its Application Development Environment, is directed at sharing of
documents among persons in an authorized work group.
The Lotus Notes Application Development Environment provides for such features
as (i) application design templates which are said to allow sophisticated applications to be
5 built by customizing pre-built applications such as document libraries, form-based
approval systems, project tracking applications and status reporting systems; (ii) security;
(ill) database access; and (iv) discussion groups.
The ability to perform commercial transactions that involve order entry systems
would allow an online system to sell goods and services to computer users. It is now
10 recognized that many functions such as traditional order entry systems and the like will
someday be carried out over computer networks by allowing a customer to place orders for
goods and services directly with an online service. By way of example, even today, food
orders can be placed with restaurants over computer networks; videos can be reserved at the
local video store; and banking transactions can be carried out simply by logging onto a
1 5 computer network.
Four different types of commercial transactions might commonly occur in a
commercial online service. First, a user may be charged for the right to access all or parts of
a useful publicly accessible online system. Second, the online service may pay the user for
performing some type of action such as winning a contest or completing a marketing
20 survey. Third, an online service may charge a content provider for placing certain
information on the online service. For example, a content provider can be charged for
placing an advertisement on the online service. Finally, a content provider can be paid by
the online service for providing information that users may wish to access, can be can be
provided on a for-fee basis. Conversely, an online service provider may wish to pay third
25 party content providers for placing useful material on the online service.
Thus, when creating a publicly accessible online system, it is desirable to include
the ability to define fee structures for accessing parts of the online system and/or ordering
other goods or services. However, creating a sophisticated commercial online service with
such features usually requires specialized programming.
30 ADVERTISEMENT AND PROMOTION CAPABILITIES
□Provides cross— selling and up-selling based on on a product/service
□Provides cross-selling and up-selling based on on a user
□Provides advertisements or promotions based on a product/service
□Provides advertisements or promotions based on a user
35 □Links all cross-selling, up-selling, advertisements, promotions to further
detail or purchasing ability
One embodiment of the electronic commerce component of the present invention is
adapted for advertising in a virtual shopping environment in operation 1510 of Figure 15.
Figure 19 illustrates the operation in more detail. In operation 1902, a plurality of items,
40 i.e. products or services, are displayed for purchase. Along with the items being displayed
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for purchase, or on a subsequent page or pages, advertisement information which relates to
at least one of the items displayed for purchase are displayed in operation 1903, Figure
19A provides more detail of operation 1903. The advertisements are preferably
preassociated with individual items or may be associated with an entire classes of items in
5 operation 1910. When the items are selected for display, one or more of the advertisements
is automatically displayed as well in operation 1911, In operation 1912, if there are many
advertisements, the advertisements are rotated so that each gets an equal amount of display
time, or according to the premium paid by the advertiser. A user is permitted to select the
items for purchase, as indicated by operation 1904. Payment is then accepted in exchange
10 for the selected items in operation 1905. While the virtual shopping environment is being
used, advertisement information may be displayed which relates to at least one of the items
for purchase and also relates to the user based on the profile of the user. This is particularly
useful where the advertisements are being rotated. Then the advertiser would be billed
based upon the number of times its advertisement was shown Note that the items each
15 include at least one of a product and a service.
As an option, the advertisement information may further include promotion
information or advertise another item separate from the item to which the advertisement
information is related. As yet another option, the advertisement information is specifically
tailored for the user based on a profile of the user. Further, cross-selling and up-selling
20 based on a product or service, as well as of the user, may be provided. Ideally, all cross-
selling, up-selling, advertisements, and promotions are linked to pages containing greater
detail or to a purchasing area.
The use of advertising revenues to pay for information dissemination is well
established in domains such as television and radio in which end users are tuned to a
25 continuous signal over a lengthy period of time. In such systems, due to the continuous
nature of the signal being monitored by the end users, the end users are sufficiently similar
to a "captive audience" that many or most end users remain tuned to the same signal even
when the main program to which they are listening or viewing is interrupted by
advertisements.
30 Another example of advertising mixed with information dissemination is the use of
scrolled text at the bottom of a television of computer screen, where the main program
occupies most of the end user's visual field and a smaller portion is occupied by
advertisements and the like on a "scroll bar" or similar visual device along the periphery of
the screen. In some contexts, such as cable television channels that display a "stock ticker
35 tape," this relationship is reversed: the information portion of the screen occupies a small
part of the screen, such as horizontally scrolling image region at the top or bottom of the
display and the remainder of the screen is occupied by advertisements, "infomercials" and
the like.
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Yet another example of mixing advertisements with information dissemination are
newspapers and magazines.
Most, and perhaps all such examples of mixing advertisements with information
content are based on systems in which the end user has actively elected to view or listen to
5 a program or to otherwise receive information. Furthermore, in virtually all such systems or
media, the juxtaposition or placement of advertisements and information content is
explicitly programmed or determined by human beings working as "editors" or in a similar
content and/or presentation editing capacity.
Distributing information via the Internet or other publicly accessible computer
10 communication networks has been largely unsupported by advertising revenues due to the
lack of good mechanisms for mixing advertising and information content in such a way as
to be acceptable to both end users and advertisers. There are, of course, some exceptions
where advertising/content mixtures from other contexts, such as newspapers and television,
have been simply replicated on the Internet. For instance, some newspapers have been
15 "published" at least in part on the Internet, and include advertisements along with
information content. In fact, some newspapers sell advertising space on an associated
World Wide Web (WWW) site, which often includes extensive listings of certain types of
advertisements such as real estate advertisements, personal advertisements, and so on.
Similarly, the scroll bar type advertisement at the bottom of a computer screen is based on
20 similar advertising techniques used in cable television and other television contexts.
There are also examples of computer programs which contain advertisements. In
all such examples known to the inventors, the advertisements are either permanently
embedded in the computer programs or reside permanently with computer programs such
that they cannot be easily updated.
25 QUOTE OF PRICE AND AVAILABILITY
□Displays list price
□Displays promotional pricing based on product
□Displays promotional pricing based on user
□Displays user specific pricing
30 nHandles multiple currency
□Provides general availability
□Provides user specific availability
□Saves quote to be retrieved and maintained at later point
□Adapts pricing for geographic markets
35 □Passes quotes to channel partners
□Determines credit available and terms
□Provides web call-through for non-standard pricing
Next provided is a method, system, and article of manufacture for selectively
determining prices and availability of items, i.e. products or services, for purchase in a
40 virtual shopping environment based on a user profile, as performed by operation 1512 of
Figure 15. Figure 20 illustrates the operation in more detail. As shown in Figure 20, in
operation 2002, a user profile is created from input about a user. The user profile is
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preferably created in a manner that predicts buying tendencies. The virtual shopping
environment is tailored automatically based on the user profile. A plurality of items (i.e.,
products or services) for purchase are displayed, as discussed above. One example would
be selecting at least one item for purchase based on the profile of the user in operation 2004
5 and displaying those items before other items in operation 2006. For example, the items
may be placed in groups, the groups being based on estimated buying tendencies. Then,
items from the group most closely matching the user's buying tendency, as determined
above, are displayed. Further, the user is allowed to select the items for purchase in
operation 2008. Factors that are tailored include price and availability of the items.
10 Payment is then accepted in exchange for the selected items in operation 2010, as discussed
in more detail below.
The virtual shopping environment may be tailored by generating prices associated
with the items based on the profile of the user. As an option, some or all of the prices may
be promotional prices. The promotional prices may be offered based on the particular
15 product or on the profile of the user. Further, available credit and the terms of receiving
that credit may be produced based on the profile of the user.
The virtual shopping environment is further tailored by generating prices associated
with the items based on a geographic location of the user, and may be designed to handle
multiple types of currency. At least one of the prices that is generated may be stored and
20 subsequently displayed during a subsequent use of the virtual shopping environment by the
user. The virtual shopping environment may also be tailored by varying availability of the
items based on the profile of the user.
The tremendous number of product types available to consumers at the retail level,
e.g., in food and grocery, personal care, hardware and appliances, means that a retailer may
25 have thousands of models or varieties of goods in inventory, each, of course, with a
concomitant price. The result of this multitude of consumer products is that the control and
consistency of pricing has assumed increasing importance, especially where retailing is
highly competitive and price management is essential for a merchant to keep pace with
competitors.
30 One area that has produced such a multitude of products and that has become a
highly competitive selling environment is consumer appliances and electronics. Each type
of product, e.g., a television set, is typically available from several different manufacturers,
and each manufacturer typically produces several models of the same type product. The
prices of products vary from manufacturer to manufacturer as well as within the same
35 manufacturer's range of models, depending upon the particular specifications and features
of each model within the product type. Moreover, each manufacturer sells its products
through a large number of distributors and, ultimately, to retail stores, with the result that
the pricing of the same product can differ from distributor to distributor, from retailer to
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retailer and from geographic market to geographic market. Even within a single merchant's
inventory, price variations on an individual product occur, e.g., an advertised special versus
the "regular" price.
To keep pace with competitors, a merchant may obtain pricing information by
5 reviewing competitors' advertisements, printed or otherwise, by actual shopping of
competitors and viewing of price tags in a competitor's store or outlet, or from a customer at
the point of sale who claims that a certain product can be purchased from a competitor for a
certain (i.e., lower) price. "Sale" prices are particularly problematic as such prices are
typically only valid for a defined period, after which the "sale" price reverts to the "regular"
10 price. If a merchant wishes to change prices in response to a competitor's price, usually
special effort is required to change price tags at points of sale to meet or "beat" the
competitor's price. The manual nature of the process does not permit prices to change
frequently, such as once or twice per day. Such frequency is prohibitive, and thus, a
merchant cannot respond daily to market price changes involving hundreds to thousands of
15 products. Moreover, keeping track of the valid period for "sale" prices adds yet another
layer of complexity. Further, if a competitor's pricing becomes known at the point of sale,
the salesperson must determine if he or she is willing to sell the product for a lower or the
same price, (i.e., in accordance with the merchant's pricing policy).
Various pricing systems are known, although virtually none implement complex
20 pricing policies. Many systems, especially in the stock brokerage area, will provide market
pricing of stocks. While these systems can accommodate a continually changing price
situation, the actual pricing, of course, is independent of the system, i.e., pricing is
controlled by the stock market.
The current wide-ranging use of computer systems provides a relatively large
25 potential market to providers of electronic content or information. These providers may
include, for example, advertisers and other information publishers such as newspaper and
magazine publishers. A cost, however is involved with providing electronic information to
individual consumers. For example, hardware and maintenance costs are involved in
establishing and maintaining information servers and networks. In addition, labor costs are
30 involved in keeping the information in the servers current.
One source which can be accessed to provide the monetary resources necessary to
establish and maintain such an electronic information network is the individual end users
which consume the electronic information. This electronic information, however, has
different value to different users. For example, some users will be very accepting of
35 advertising as part of the electronic information, whereas others will be opposed to
receiving advertisements. Thus, it would be beneficial to provide a system which allows
individual users to control the amount of electronic advertising they receive with their
electronic content.
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In addition, providers of electronic advertisements would be able to subsidize the
cost of electronic content for end users. The amount of this subsidy would be dependent on
the amount of electronic advertising which is consumed by the end users and the perceived
quality of these consumers. Thus, it would be beneficial to provide a system which allows
5 the providers of electronic advertisements to provide advertising-based subsidization of
electronic content consumption, based upon the perceived quality of consumers who have
specifically chosen to consume these advertisements, cognizant of the fact that consuming
these advertisements will subsidize their electronic content consumption fees.
ORDER PLACEMENT
10 aCollects user information for order processing (shipping, billing)
□Recaps order for confirmation (shipping, price, availability)
□Allows for order maintenance (qty, product, shipping)
Referring to operation 1514 of Figure 15, another embodiment of the electronic
commerce component of the present invention receives an order for at least one of the
15 products and services. User information is collected for order processing, including an
address for delivery and billing. In the alternative, a user may enter an alphanumeric code
representative of a source of currency, such as a credit card number or bank account
number. Optionally, the user may be allowed to select a shipping provider other than a
default provider. The availability of the desired product is confirmed, as are the price and
20 shipping arrangements. As an option, the invention may require the user to confirm that the
desired product or service has been ordered, that the price is satisfactory, and that the
desired shipping provider is selected.
TAX AND SHIPPING CALCULATIONS
□Provides tax cost on associated order
25 nProvides shipping cost on associated order
□Handles multiple tax laws within US
□Handles multiple tax implication globally
As shown in Figure 15, operation 1516 calculates at least one of a tax and a
shipping fee for at least one of the items, i.e., products and services, for which the order is
30 received. The tax cost for each order is calculated, and may include a listing of the tax per
item. The shipping costs for each item or order may also be calculated, such as by taking
into account handling costs, the total weight of the items, the distance to final destination of
the items, and the corresponding charges of the shipping provider. An estimate of the
delivery date may also be given. It should be noted that mileage and the like could be
35 calculated where services are to be rendered at a location remote to the provider.
Optionally, mathematical formulas based on multiple applicable tax laws may be
used in the calculation of the tax. Such applicable tax laws may include only domestic
taxes for domestic delivery, and may include applicable foreign tax laws for imported and
exported items.
40 TRANSACTION PROCESSING CAPABILITIES
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□Processes credit card transactions
□Processes purchase order transactions on backend systems
□Places actual order with fulfillment house for physical shipping
□Sends electronic fulfillment to the user
5 nProvides order confirmation and tracking number
□Supports micropayment processing
Another embodiment of the invention processes transactions pertinent to the
purchase of items. For example, credit card transactions are processed, as are purchase
order transactions. A structured payment plan may also be created. The actual order is
10 placed with a fulfillment house for physical shipping of a product, or the order is placed
with a provider of an ordered service. Optionally, notification may be sent to the user to
notify the user that the transaction is being completed or confirmation that the order has
been completed. Also optionally, a tracking number may be sent to the user for assisting a
user to determine the shipping status of a product.
15 Also envisioned is a quick-stop mass retail system which enables purchasers to
order and purchase articles from a remote location for pickup at an article pickup area at an
automated store.
In accordance with the above, the present invention may provide a quick-stop mass
retail system for ordering and purchasing articles from a remote location for pickup at an
20 article pickup area at an automated store, comprising: an interactive system for
communicating a customer's purchase order for at least one article; a host computer
including provisions for receiving the customer's purchase order; processing the customer's
purchase order; and storing the customer's purchase order in a database; a system for
retrieving the article ordered by the customer from a storage location for the article at the
25 automated store, the host computer communicating with the system for retrieving; a system
for retrieving identification information from the customer, the system for retrieving
identification information communicating with the host computer, whereby the host
computer enables the system for retrieving the article to provide the article to the article
pickup area upon obtaining the identification information and comparing the identification
30 with the customer's purchase order.
The quick-stop mass retail system may further include a system to enable a
plurality of articles stored in a plurality of storage locations associated with the automated
store to be retrieved, including a network of dispensing stations interconnected by at least
one device for transporting the articles from the storage locations to the article pickup area.
35 The quick-stop mass retail system may also have a system for detecting when
inventory is to be restocked including, the system for detecting communicating with the
host computer such that the host computer initiates a purchase of additional inventory in
response to the low inventory detection.
The quick-stop mass retail system may have the host computer track inventory of
40 the articles to enable restocking of the respective storage locations when detecting
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inventory below a certain level.
In accordance with a specific embodiment of the invention, there is disclosed a
quick-stop mass retail system for ordering and purchasing articles from a remote location
for pickup at an article pickup area at an automated store, comprising:
5 an interactive system for communicating purchase information to the customer and
communicating the customer's purchase order for at least one article; a host computer
including provisions for receiving the customer's purchase order; processing the customer's
purchase order; and storing the customer's purchase order in a database; a system for
retrieving the article ordered by the customer from a storage location for the article at the
10 automated store, the host computer communicating with the system for retrieving, wherein
a plurality of articles are stored in a plurality of storage locations associated with the
automated store and the system for retrieving the articles includes a network of dispensing
stations interconnected by at least one apparatus for transporting the articles from the
storage locations to the article pickup area; a system for retrieving identification
15 information from an identification card or code associated with the customer, the system for
retrieving identification information communicating with the host computer, wherein the
storage locations include a system for detecting when inventory is to be restocked, the
system for detecting communicating with the host computer such that the host computer
initiates a purchase of additional inventory in response to the low inventory detection,
20 whereby the host computer enables the system for retrieving the article to provide the
article to the article pickup area upon obtaining the identification information and
comparing the identification with the customer's purchase order.
The present invention also encompasses a method for ordering and purchasing
articles from a remote location for pickup at an article pickup area at an automated store,
25 comprising:
(a) communicating a customer's purchase order for at least one article via an
interactive electronic network;
(b) receiving the customer's purchase order at a host computer in communication
with the interactive electronic network;
30 (c) processing the customer's purchase order and storing the purchase order in a
database;
(d) retrieving identification information from an identification card or code
associated with the customer with a system for retrieving information
communicating with the host computer; and
35 (e) retrieving the article ordered by the customer from a storage location for the
article at the automated store by a system for retrieving articles communicating
with the host computer and delivering the article to the article pickup area.
The method can further comprise the step of the host computer detecting an
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inventory level threshold below w^hich inventory of the article is to be restocked.
ELECTRONIC LICENSE DISTRIBUTION AND MANAGEMENT
□Tracks user license entitlements
□Creates an electronic license entry on backend systems
□Sends electronic license to user
As shown in Figure 21, a method, system, and article of manufacture is provided
for automatically generating a contract between an owner of software and a user of the
software. First, in operation 2102, a user is allowed to request to utilize a software package
after which user input relating to the user is requested and received. See operation 2104
and 2106, respectively. Such information may include identification information such as
name, address, etc. In operation 2108, a tailored license agreement is then generated by
utilizing the user input. Figure 21A illustrates a procedure for performing operation 2108.
In operation 2110, the terms of the license agreement are set forth. Licensor identification
information is included in operation 2111. Licensee (user) identification information is set
forth in operation 2112. Optionally, verification of identification may be performed in
operation 2113, such as prompting a user to enter his or her telephone number and cross
referencing the input number with telephone listings.
As an option, the license agreement may be sent to the user via electronic mail or
the like in operation 2110. The present invention may ftirther track entitlements of the user
granted under the license agreement. The user may even be prevented from utilizing the
software until the license agreement is generated.
Most software vendors currently favor licensing as the preferred method of
distributing software. Licensing software provides the vendor with a certain amount of
control over the distributed software which may be used to the vendor's advantage. For
example, licensing software allows the vendor to prohibit unauthorized usage of the
software that might facilitate unauthorized copying. In addition, licensing provides an
advantageous method of providing and billing for software. Through licensing, the vendor
may sell several identical copies of the same software and charge the buyer for each copy.
Licensing schemes have adapted to the network environment as well as the
individual personal computer. In a network environment, such as a client-server network,
multiple users may access the same copy of a particular application. Consequently, the
vendor can charge the network owner not for the number of copies installed on the network,
but for the number of users having access to the software.
Software is conventionally licensed using an agreement between the vendor and the
user or administrator. The agreement is typically either a conventionally signed contract or
a "shrink wrap" agreement attached to the packaging for the software, to which the licensee
acknowledges agreement by opening the package.
Although traditional licensing and shrink wrap licensing are more or less applicable
to licensing for individual systems, they are not well-suited to the network environment.
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Both traditional and shrink wrap licensing schemes are difficult to enforce on a network
where several users have access to the software. Consequently, various electronic systems
have been devised for controlling access to software on a network.
Electronic licensing typically comprises providing a set of criteria under which a
5 request for an application from the server should be granted. One licensing system uses a
fixed set of licenses controlled by a license server. The license information is maintained in
a license database, along with information regarding which applications are in use and how
many units are still available. The information in the database may be encrypted to prevent
forgeries. When an application is desired, the application commences running. Code
10 embedded in the application initially requests a license from the server to facilitate the
execution of the application. The server checks the database of licenses, and if the
appropriate licenses are available, grants the request. As requests are received and licenses
granted, the relevant information is logged into a file to track usage of the various
applications.
15 If a license is not available, the client contacts another server to find the appropriate
license. The client in the conventional system has the responsibility to obtain licenses from
the various servers, and the individual servers provide resources at the client's request. To
facilitate such licensing, the application typically includes a library of programs designed to
contact the server, request a license, and track the resulting license.
20 When a call is made to a server, all of the execution occurs on each individual
server for any particular call. Similarly, if a license is located on a particular machine, all
execution necessary to operate on that license occurs on that machine. Consequently, a
central server containing most of the licenses available on a particular network is mainly
responsible for maintaining the licenses.
25 In addition, conventional licensing systems rely on code embedded in the
application to establish the licensing attributes. Code is placed in the application which
interprets information received from the server to establish licensing parameters. Because
the behavior of the license is not established until after the request has been made and the
license obtained, the user cannot read the license terms prior to the request. In addition, this
30 system lacks flexibility. To change the licensing terms, the code in the application must be
revised.
Recently, generation and sales of software programs have become significant
businesses both for companies which are primarily vendors of hardware, as well as for
companies which vend software alone. Software is typically sold under license, that is,
35 vendors transfer copies of software to users under a license which governs how the users
may use the software. Typically, software costs are predicated on some belief as to the
amount of usage which the software program may provide and the economic benefits, such
as cost saving which may otherwise be incurred, which the software may provide to the
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users. Thus, license fees may be based on the power of the processor or the number of
processors in the system, or the number of individual nodes in a network, since these factors
provide measures of the number of users which may use the software at any give time.
In many cases, however, it may also be desirable, for example, to have licenses and
5 license fees more closely relate to the actual numbers of users which can use the program at
any given time or on the actual use to which a program may be put. Furthermore, it may be
desirable to limit the use of the program to specified time periods. A problem arises
particularly in digital data processing systems which have multiple users and/or multiple
processors, namely, managing use of licensed software to ensure that the use is within the
10 terms of the license, that is, to ensure that the software is only used on identified processors
or by the numbers of users permitted by the license.
A network environment for computers permits several computers or terminals to
use or have access to one or more programs. Traditionally, an end user would have to obtain
a license from a software vendor to authorize use of the vendor's software on terminals or
15 workstations within the network.
One method for providing access to software is known as the single-CPU or single
processor license, wherein a soflAvare program is locked to a specific CPU and access to
that software is only permitted from the particular licensed computer. A single-CPU
license may create instances where software is unavailable to all users because the
20 computer is not functioning or because several users want to use the software at the same
time. To assure wide access, end users frequently must obtain unneeded CPU-locked
software to assure availability and convenience. Companies with but a few users of a
particular software program generally choose a CPU-locked system because it is, in effect,
priced proportionately to the number of users.
25 The second general method to provide access to software is known as site-
licensing. With this method, a software program is available for all the computers at an
installation. The number of users who may run a software package concurrently under a site
license is theoretically limited only by the number of users in the computing environment.
Although site-licensing may ease administrative and operational problems for an end user,
30 it normally does so at a premium price which takes into account the lack of accountability
that such flexible licensing provides. A site license imposes unneeded costs where only a
few users of a company actually need the software.
In the instance where a software vendor offers a choice between CPU-locked and
site licensed software, it is the number of expected users at a purchasing company which
35 affects the purchasing choice. If many of the end users at a company intend to use the
software, for example, then a site license may be the most appropriate distribution system
because it may be the low-cost option. If the software only will be used by a few workers.
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however, then a CPU-locked distribution system may be more appropriate. The trade-off
point is determined by the relative pricing between the two distribution systems.
For environments where many users need the software but only spend a portion of
their time using it, neither a dedicated CPU-locked license nor a site license may be cost
effective. In such a case, a user who needs more than a single copy of the software may not
buy it, thus depriving a vendor of potential revenue. Similarly, vendors lose potential
revenue when they permit a company with a very large number of users to use software
over an entire site, due to a general lack of accountability.
As computers have proliferated in availability, the investment in computer software
has also grown, and there have been developed various methods for charging the computer
user for use of computer software products. Typically computer software products are
licensed, rather than sold, to the computer user under various arrangements. The simplest
common license arrangement gives the user the right to use a software product on a single
computer, i.e., to employ only one central processing unit (CPU) in connection with
operation of the software product.
Although many such licenses are for indefinite periods of time, a license may also
be for a limited duration and extendable, so that the entity marketing the product can charge
a periodic fee (for example, annually) for use of the software product. Or use may be
absolutely time-limited (for example, one-day), so that the user may evaluate the software
product for possible purchase of a regular license. Since software can be copied and moved
easily from one like machine to another, companies have invented methods to prevent
unauthorized use of their software products. Some licensors require passwords to activate
software on a particular machine. The password may be keyed to the hardware's
identification number as a condition for operation of the software. Such systems can
effectively lock software to a particular machine, but do not address software that is
licensed for concurrent or simultaneous use. Some licensors use hardware locks that attach
to a parallel printer port or a serial port on a machine; each time the software is activated, it
looks for a specified code, in the hardware lock, as a condition for operation of the
software. Using hardware locks resolves the problem of unauthorized moving of software
among machines; however, hardware locks do not handle multiple software products on a
single machine, and they require time and expense to deliver to the end user.
When computer software products are used in a network environment (which may
include computers running in various roles as workstations and servers of various types
linked together over a data path), additional licensing challenges are present. For example, a
network may permit a user at one node (which may be a terminal or workstation, for
instance) to utilize a software product running at another node (which may be the network
server or even another workstation). Consequently, the terms of the single-computer type
of software license might not cover the usage of the software product on the network, or
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worse still (from the point of view of the licensor) might actually permit such a usage
without additional compensation to the licensor. One approach to network licensing is to
grant permission to use the program based on all of the nodes on the network, and to require
a license for each node. Then typically the license fee may be increased as the number of
nodes on the network increases. Another approach bases the license fee for a software
product running on a network on the total number of individual users who might actually
run the software, regardless of the number of nodes either on the network or running the
software product at a given time. These approaches, however, have usually required the
cooperation of the licensee, because additional nodes may be added to the network, or
additional users may utilize the software, without the knowledge of the licensor, who is
typically not present on the premises of the licensee. The licensor may reserve the right to
audit the licensee's site, but such an audit is intrusive, expensive, and may alienate potential
or actual customers for licenses. Although other approaches exist under which one might
charge a single fee per server or per site or per entity, often on an individually negotiated
basis, these approaches are often impractical or inflexible, in that they also typically do not
take into account the possible wide variation over time in the number of nodes or users and
also require reliance on licensee cooperation.
Recently it has become practical in some network environments to determine and
limit the number of nodes that may access a software product at a given time, and to charge
a license fee based on the maximum number of nodes that are permitted to use the software
product concurrently.
This is called "concurrent licensing". In these environments, a computer program,
acting as "librarian" and running on a computer node designated as a license server, is
typically used to distribute license keys (sometimes called "tokens") over the network to
nodes requesting access to run a software product; the number of keys is tracked by the
librarian; and if at a given time, the permitted maximum number of keys would be exceeded
by usage of the software product on a requesting node, the node can be denied, at such time,
access to invoke the software product.
Examples of software-based concurrent licensing arrangements may be found in
Unix applications running in connection with software products sold under the trademarks
NetLS (available from Gradient Technologies, Inc., 577 Main Street, Suite 4, Hudson,
Mass. 01749), and SunLic (available from Sun Microsystems, Inc., Mountain View, Calif.),
and Flexible License Manager (available from Highland Software, Inc., 1001 Elwell Court,
Palo Alto, Calif. 94303).
WAF can securely manage the integration of control information provided by two
or more parties. As a result, WAF can construct an electronic agreement between WAF
participants that represent a "negotiation" between, the control requirements of, two or
more parties and enacts terms and conditions of a resulting agreement. WAF ensures the
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rights of each party to an electronic agreement regarding a wide range of electronic
activities related to electronic information and/or appliance usage.
Electronic Agreements and Rights Protection
An important feature of WAF is that it can be used to assure the administration of,
5 and adequacy of security and rights protection for, electronic agreements implemented
through the use of the present invention. Such agreements may involve one or more of:
(1) creators, publishers, and other distributors, of electronic information,
(2) financial service (e.g. credit) providers,
(3) users of (other than financial service providers) information arising fi-om
10 content usage such as content specific demographic information and user
specific descriptive information. Such users may include market analysts,
marketing list compilers for direct and directed marketing, and government
agencies,
(4) end users of content,
15 (5) infrastructure service and device providers such as telecommunication
companies and hardware manufacturers (semiconductor and electronic
appliance and/or other computer system manufacturers) who receive
compensation based upon the use of their services and/or devices, and
(6) certain parties described by electronic information.
20 WAF supports commercially secure "extended" value chain electronic agreements.
WAF can be configured to support the various underlying agreements between parties that
comprise this extended agreement. These agreements can define important electronic
commerce considerations including:
(1) security,
25 (2) content use control, including electronic distribution,
(3) privacy (regarding, for example, information concerning parties described by
medical, credit, tax, personal, and/or of other forms of confidential
information),
(4) management of financial processes, and
30 (5) pathways of handling for electronic content, content and/or appliance control
information, electronic content and/or appliance usage information and
payment and/or credit.
WAF agreements may define the electronic commerce relationship of two or more
parties of a value chain, but such agreements may, at times, not directly obligate or
35 otherwise directly involve other WAF value chain participants. For example, an electronic
agreement between a content creator and a distributor may establish both the price to the
distributor for a creator's content (such as for a property distributed in a WAF container
object) and the number of copies of this object that this distributor may distribute to end-
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users over a given period of time. In a second agreement, a value chain end-user may be
involved in a three party agreement in which the end-user agrees to certain requirements
for using the distributed product such as accepting distributor charges for content use and
agreeing to observe the copyright rights of the creator. A third agreement might exist
5 between the distributor and a financial clearinghouse that allows the distributor to employ
the clearinghouse's credit for payment for the product if the end-user has a separate (fourth)
agreement directly with the clearinghouse extending credit to the end-user. A fifth,
evolving agreement may develop between all value chain participants as content control
information passes along its chain of handling. This evolving agreement can establish the
10 rights of all parties to content usage information, including, for example, the nature of
information to be received by each party and the pathway of handling of content usage
information and related procedures. A sixth agreement in this example, may involve all
parties to the agreement and establishes certain general assumptions, such as security
techniques and degree of trustedness (for example, commercial integrity of the system may
15 require each WAF installation secure subsystem to electronically warrant that their WAF
node meets certain interoperability requirements). In the above example, these six
agreements could comprise agreements of an extended agreement for this commercial value
chain instance.
WAF agreements support evolving ("living") electronic agreement arrangements
20 that can be modified by current and/or new participants through very simple to
sophisticated "negotiations" between newly proposed content control information
interacting with control information already in place and/or by negotiation between
concurrently proposed content control information submitted by a plurality of parties. A
given model may be asynchronously and progressively modified over time in accordance
25 with existing senior rules and such modification may be applied to all, to classes of, and/or
to specific content, and/or to classes and/or specific users and/or user nodes. A given piece
of content may be subject to different control information at different times or places of
handling, depending on the evolution of its content control information (and/or on differing,
applicable WAF installation content control information). The evolution of control
30 information can occur during the passing along of one or more WAF control information
containing objects, that is control information may be modified at one or more points along
a chain of control information handling, so long as such modification is allowed. As a
result, WAF managed content may have different control information applied at both
different "locations" in a chain of content handling and at similar locations in differing
35 chains of the handling of such content. Such different application of control information
may also result from content control information specifying that a certain party or group of
parties shall be subject to content control information that differs from another party or
group of parties. For example, content control information for a given piece of content may
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be stipulated as senior information and therefore not changeable, might be put in place by a
content creator and might stipulate that national distributors of a given piece of their
content may be permitted to make 100,000 copies per calendar quarter, so long as such
copies are provided to boni fide end-users, but may pass only a single copy of such content
5 to a local retailers and the control information limits such a retailer to making no more than
1,000 copies per month for retail sales to end-users. In addition, for example, an end-user
of such content might be limited by the same content control information to making three
copies of such content, one for each of three different computers he or she uses (one
desktop computer at work, one for a desktop computer at home, and one for a portable
10 computer).
Electronic agreements supported by the preferred embodiment of the present
invention can vary from very simple to very elaborate. They can support widely diverse
information management models that provide for electronic information security, usage
administration, and communication and may support:
15 (a) secure electronic distribution of information, for example commercial literary
properties,
(b) secure electronic information usage monitoring and reporting,
(c) secure financial transaction capabilities related to both electronic information
and/or appliance usage and other electronic credit and/or currency usage and
20 administration capabilities,
(d) privacy protection for usage information a user does not wish to release, and
(e) "living" electronic information content dissemination models that flexibly
accommodate:
(1) a breadth of participants,
25 (2) one or more pathways (chains) for: the handling of content, content and/or
appliance control information, reporting of content and/or appliance usage related
information, and/or payment,
(3) supporting an evolution of terms and conditions incorporated into content
control information, including use of electronic negotiation capabilities,
30 (4) support the combination of multiple pieces of content to form new content
aggregations, and
(5) multiple concurrent models.
ORDER STATUS AND fflSTORY
□Provides real-time order status (backorders)
35 nProvides real-time shipping status
□Provides real-time invoice status
□Provides history of previous orders and delivery information
□Ensures proactive notification of order/shipping problems
Referring to operation 1518 of Figure 15, a status of delivery is output for at least
40 one of the products and services for which the order is received. The order status of a
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desired order may be checked in real time, especially useful when products are backordered
or services have been delayed. Once the items have been shipped, the shipping status may
be provided, such as by requesting that the user input a tracking number and retrieving data
concerning that number from the shipping provider and displaying the result. Further, the
5 status of an invoice may be checked in real time for, for example, permitting a user to
determine whether a payment has been received and the like.
Any problems encountered relating to the order or shipping of the order are result
in proactive notification of the problem to the user. As an option, the history of previous
orders and related delivery information may be provided.
10 LEAD GENERATION AND REFERRAL
□Captures interest in a product or promotion
□Sends leads to sales effectiveness systems
□Updates database of leads
Another aspect of the electronic commerce component of the present invention has
15 the purpose of capturing interest in a product, service, or promotion. The invention sends
leads, notices, and advertisements to sales effectiveness systems where the leads are
displayed or disseminated to users. A database of the leads may be kept and updated as
desired.
AUCTION CAPABILITIES
20 □Facilitates dynamic auction creation
□Allows private and public auctions
□Supports multiple auction formats (e.g. Dutch, Reserve)
□Allows tracking and analysis of auction histories
The electronic commerce component of the present invention may include an
25 auction component for permitting a user to bid on an item against competing bidders. The
auction component would permit private and public auctions, and could even permit users
to create their own auctions. The auction component should permit selection of an auction
format from several different formats, including, for example, Dutch and Reserve auctions.
Further, tracking and analysis of auction histories could also be provided.
30 Economic activity has at its centerpiece the buyer-seller transaction for all goods
and services produced and consumed in a market economy. It is the fundamental
mechanism to which resources are allocated to producers and output to consumers. The
operation of the buyer-seller mechanism can and often is a critical determination of
economic efficiency and when operated properly, will substantially enhance market
35 performance.
Through history, there have been many different approaches adopted to fairly bring
buyers and sellers together, each with the key objective of permitting transactions at or as
close as possible to the "market" price of the goods. By definition, the market price is the
price (in given currency terms) that a fully educated market, given full access will transact
40 select goods. This can only be accomplished by permitting full access to the transaction by
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essentially all potential buyers and sellers. However, the buyer-seller transaction must be
structured to operate at very low costs — or it will distort the market price of goods with the
artificially high transactions costs. Thus, as can be seen, the two keys to effective
buyer/seller transactions — full access and knowledge coupled with low costs — can be and
5 are often conflicting, necessitating trade-offs between trading efficiency and market
knowledge.
One well-known and particularly successful trading system is known as the "open
outcry auction". This involves a process wherein buyers and sellers collect in one location
and prices for select goods are presented to the group through a broker, via simple vocal
10 offerings. This approach has been used for almost all kinds of goods, but is particularly
useful where there are no established trading locations or markets for the selected items. It
is the dominate trading forum for exotic items such as rare pieces of art and the like.
Although successful in bringing interested parties to the transaction, the overall process can
be very expensive, adding significantly to the market-distorting transaction costs.
15 Open outcry auction techniques, modified over time, have also found successful
application in many commodity trading activities, including the buying and selling of farm
produce and livestock, oil and commodities contracts, ftiture contracts on a variety of items
and — particularly germane to the present invention — fixed income securities. These
trading activities focus on the buying and selling of essentially fungible items, that is, items
20 that are without meaningful differentiation from like items on the market. For example, a
bushel of wheat for February delivery is considered for sale and delivery at a price
independent from its source. Similarly, a 30-year treasury bond paying a coupon rate of 8
percent and having a July 1996 issue date is indistinguishable from other 30-year treasuries
having the same properties. Accordingly, the price buyers are willing to pay and sellers
25 willing to accept defines the market price of all 30-year treasury bonds of that same
vintage, allowing a source transparent application of open outcry auction trading.
The fixed income securities issued by the United States Government are known as
U.S. treasuries. These instruments typically span maturity terms at issue of 13 to 52 weeks
(T-bills), one to ten years (notes), and up to 30 years (bonds). The T-bills are pure
30 discount securities having no coupons. Almost all other treasuries having longer terms are
coupon notes or bonds, with a defined payment cycle of semi-annual payments to the
holder.
Treasuries have characteristic properties that make them especially useful for the
purpose of the present invention and, therefore, are used exclusively in the following
35 discussions with the fundamental tenant that the principles may be applied to other types of
fixed income securities without departing fi-om the inventive concepts. One important
attribute of treasuries, in the context of the present invention, is the minimal and uniform
default risk; the issuance of U.S. government paper removes the default risk as a defining
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criteria in the relative pricing of treasuries in the market place when they are backed by the
full faith and credit of the U.S. government.
New treasury securities are auctioned by the U.S. government at preestablished
auction dates. The auction prices for the treasuries having a face value with a set coupon
5 rate will define the issuance yields of the security. After the auction, the treasuries enter the
secondary market and are traded typically "over the counter", i.e., without a defined
exchange. As inflation expectations and supply and demand conditions change, the prices
of the recently auctioned treasuries fluctuate on the secondary market. These new prices are
reflected by competing bid and ask prices communicated among institutions, banks,
10 brokers, and dealers in the secondary market. For example, the yield of a treasury note
increases as its price drops in the market, typically reflecting an overall increase in the
interest rates for that term of security.
The newly auctioned securities are traded with and in conjunction with the
securities issued in earlier auctions. In this context, some securities are traded more often
15 than others and are called the "actives"; the actives usually correspond to the recently
issued securities as opposed to the older securities in the market. Indeed, some older
securities are infi-equently traded, creating an illiquid market that may or may not reflect the
current market-determined interest rate for that maturity length security.
As can be realized by the foregoing description, the very size and diversity of the
20 treasury market implicates an unprecedented level of sophistication by market participants
in the bidding, offering, buying, and selling transactions involving these securities. The
very complexity associated with the transactions and the scale of trading undertaken by
banks, brokers, dealers and institutional participants necessitates a rigidly structured
approach to trading.
25 In the past, open outcry auction bond brokering has served its customers well,
providing highly efficient executions at near perfect market pricing. The open outcry
auction applied to bond trading was implemented by a broker working with a collection of
customers to create and manage a market. Typical customer representatives — both buyers
and sellers — at a common location (e.g., a single room) where the representatives of the
30 customers would communicate with each other to develop pricing and confirm transactions.
This process employed the expression by the representatives of various bid and offer prices
for the fixed income security at select volumes (i.e., how many million dollars of bonds at a
given maturity). This expression would involve the loud oral "cry" of a customer-proposed
bid or offer and the coordination with the fellow representatives regarding the extraction of
35 complimentary positions — until a transaction match is made and a deal is done. This "trade
capture" process relies on after-the-fact reporting of what just transpired through the oral
outcry trade.
Recently, the trade capture process was performed by having designated clerks
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input data into electronic input devices. An input clerk would attempt to interpret the open
outcry of many individual brokers simultaneously who sequentially are making verbally
known their trading instructions of their customers. The quality of the data capture was a
function of the interpretative skill of the input clerk, and the volume and the volatility of
5 customer orders. A significant drawback to this type of auction data capture process is the
difficulty in discerning the distinct trading instructions verbalized in rapid succession
during a quickly moving market, so that an accurate sequence of data can be captured by
brokers and a set of inputters.
The many permutations of this process will be discussed in some detail below. At
10 this juncture, suffice to say that at the volumes of business transactions existing at the time
of its development, and the lack of suitable alternatives, left this process as the dominate
trading mechanism for decades. However successful, this approach was not perfect. Indeed,
in recent years, some of the problems in a open outcry auction forum have been amplified
by the vastly increased level of trading now undertaken in the fixed income field. Without
15 attempting to be comprehensive, difficulties would occur by the injection of trader
personalities into the open outcry auction process. For example, an aggressive — highly
vocal representative may in fact dominate trading — and transaction flow — even though
he/she may only represent a smaller and less critical collection of customers. Although such
aggressive actions at open outcry auction may be beneficial to those particular customers in
20 the short run, overall, such dominance of the trading can and will distort pricing away from
the actual market conditions.
Other problems exist in open outcry auction that deplete efficient trading. The
speed at which trading flows and the oral nature of the auction process injects a potential
for human error that often translates into many millions of dollars committed to trades
25 unrelated to customer objectives. As such, the broker is left at the end of each trading day
with a reconciliation process that may, under certain market conditions, wipe out all
associated profit from that day's trading. Also, customers may quickly change direction
regarding trading, based on new information available to the market. Shifting position or
backing out of previously committed transactions on very short notice is often very difficult
30 in the traditional open outcry auction process.
First, in brief overview, the present invention is directed to a data processing
system for implementing complex trading rules in support of select transactions. The first
aspect of the invention relates to a particular hardware arrangement that provides a
specifically tailored platform for processor enhanced and supported trading. This hardware
35 arrangement encompasses a plurality of custom designed workstations linked together for
communication. Each workstation is linked to a central server that orchestrates the trading
processes in accordance with program controlled logic. The workstation includes a display
for presentation of the particulars of trading activity. A customized keypad permits
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10
15
enhanced data/position entry by the broker.
The second aspect of the invention is the governing logic for controlling system
dynamics. This logic is stored in system memory and provides the sequence of protocols
and rules that allocate trading priority, and the system responses to operative commands
entered by the brokers at the workstations. The system logic is critical on two levels. First,
it is important as the guiding principles underlying the system and thus performance is tied
directly thereto. On a second level, system logic must be known to all customers and traders
as the rules dictating market access and response — to eliminate any confusion and to place
participants on as close to an equal footing as possible. It is a fundamental precept of the
present system to provide fair and complete access to the trading process to all registered
participants.
To better appreciate the following details, a review of the nomenclature employed
is recommended. The illustrative examples herein all focus on fixed income instruments
and trading of these instruments in large volumes — with the volume of a given transaction
delineated in dollars (e.g., $25 million of 10-year treasuries).
The following terms are used with the associated definition:
TABLE 2
Bid
Offer
Spread
Issue
Hit
Lift
Size
Makers
Uncleared Entry
Traders
Trade
Aggressor
Active Side
Passive Side
Dollar amount offered to buy a security - issue.
Dollar amount offered to sell a security - issue.
Difference between best bid(s) and offer(s) on market.
A common class of fixed rate treasuries.
Accepting a pending bid.
Accepting a pending offer.
The volume in dollars of a particular Bid/Offer.
Customers with pending offers and bids - making a market.
Current bids/offers that lack a counterparty, i.e., have not been lifted or
hit.
After a trade is initiated; all customers involved in transactions (as
buyer or seller).
A string of transactions at one price initiated by a hit or lift and
continuing until timed out or done.
A customer who initializes a trade.
Group of Makers on same side of market as the Aggressor.
Group of customers on opposite side of market from the Aggressor.
The general context of system operation is based on the repetitive operation of
20 several fiinctions, and, in its preferred embodiment, implements these functions through a
specially designed keypad. Generally, the process begins when customers contact the
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brokers and place bids and offers for a defined class of instruments. These various positions
are displayed on the computer terminal in specific ways to reflect priority, etc. A customer
can establish trading priority by placing a bid or offer at a select price and volume; bids at
the same price are displayed on the screen in time order in which they enter the system (as
5 are offers). As such a "queue" of bids and offers develops, with place in line set by time at
the same price. This queue is displayed on screen at the broker's workstation. Typically,
there is a small difference between the bid price and offer price — the "spread". If no
difference exists, this is known as a "locked" market.
Importantly, a bid and offer are commitments — once placed, a bid can be "hit" and
10 an offer can be "lifted" by a customer willing to trade the instrument at the set price.
To control trading between many participating customers, some level of hierarchy
is set. A customer who hits on a bid or lifts an offer is promoted to a new level known as
the "aggressor". By acting on a bid or offer, the aggressor defines (and thus establishes) the
active side of the trade. For example, if the customer hits a bid, selling becomes the active
15 side of the trade and buying turns passive. However, if the customer lifts an offer, buying is
active. This is an important practical consideration, as by convention the active side pays
commissions on the ensuing transactions. This allocation of commissions is premised on the
notion that the active customers are taking advantage of liquidity while the passive side is
supplying liquidity to the market.
20 For controlled implementation, the above-noted delineation between active and
passive sides is important and carries more significance in processing transactions than the
different sides of the transaction, i.e., the bid and offer.
Focusing further on the nomenclature for the system logic, a "trade" is considered a
sequence of trading events, triggered by the initial hit or lift that defines the aggressor, and
25 continues for all such transactions until the trade "clears". During a trade, the aggressor side
remains active and all transactions take place at the price set by the initial hit or lift —
regardless of the number of following transactions. To properly track activity, a trade
generates a (virtual and/or real) single trade ticket — with associated, and screen-displayed,
reference number.
30 CONTENT CHANNEL-RELATED WEB APPLICATION SERVICES
As illustrated in Figure 14 and denoted by reference numeral 1402, another
embodiment of the present invention is provided for affording a combination of content
channel-related web application services. More detail is given in Figure 22. Various
features are included such as downloading data in operation 2200 and transmitting data,
35 such as push-technology data, based on user specifications in operation 2202. In operation
2204, a plurality of newsgroups are also provided to which users may subscribe. Content
subscriptions are also available. Answers are provided to frequently asked questions
(FAQ's) relating to the content-related web application services. See operation 2206.
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Further, in operation 2208, real time communications are enabled between a plurality of
users. In use, the transmission of outgoing electronic mail is coordinated and targeted in
operation 2210 while incoming electronic mail is manage and organized in operation 2212.
A plurality of templates are provided for publishing data in various forms in operation
5 2214.
Options include monitoring a success rate of the downloading data and
automatically transmitting the data that is transmitted based on the user profile. The
answers to the frequently asked questions could include answers automatically generated
from a dynamic knowledge base or a knowledge expert. Also optionally, the step of
10 coordinating the transmission of electronic mail includes providing an automatic response
based upon an external event. The step of organizing received electronic mail could include
organizing the received electronic mail based on a text pattern. The received electronic
mail could be stored in a dynamic customer interaction database. The plurality of templates
for publishing data in various forms may include templates generated based on the user
15 profile. These options and others will be discussed in more detail below.
DOWNLOAD CAPABILITIES
□Provides common process for all downloads
□Downloads selected files securely
□Tracks success of file downloads
20 □Restarts download if an error occurs
□Facilitates transactional dependent downloads
The present invention includes several download capabilities. See operation 2200
of Figure 22. A common process is used for all dovmloads. Selected files may be
downloaded securely and the success of file downloads are tracked. If an error occurs
25 during downloading, the download is restarted. These features greatly facilitate
transactional dependent downloads.
PUSH TECHNOLOGY CAPABILITIES
□Sends messages or content to customers proactively
□Allows for delivery and receipt of custom applications developed in all major
30 languages (i.e. Visual Basic, C++, Java)
□Receives, installs, and launches applications automatically without user
intervention
□Utilizes plug-ins allowing developers to personalize applications and content
□Performs informal hardware and software audits
35 □Delivers self-updating applications
Referring to operation 2202 of Figure 22, push-technology data is transmitted
based on user specifications. Preselected messages and content may be sent to customers
proactively. Furthermore, applications could be received, installed, and launched
automatically without user intervention. For example, a software update could be
40 automatically sent to a user's computer and installed immediately when it becomes
available. Also, informal hardware and software audits could be performed automatically
or at predetermined intervals.
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Ideally, delivery and receipt of applications developed in a variety of programming
languages, such as VISUAL BASIC, C-H-, and JAVA, is allowed. Plug-ins may also be
utilized to allows developers to personalize applications and content,
DISCUSSION FORUMS AND NEWSGROUPS
5 nSecurely handles all media types (e.g. graphics, audio, etc.)
□Links to web pages for easy access to published documents
□Facilitates discussions across multiple discussion groups
□Finds information with search and notification tools
□Allows participation in discussions via email
10 □Allows forum moderation by users and administrators
□Allows group membership control by users and administrators
Operation 2204 of Figure 22 provides for a plurality of newsgroups to which users
can subscribe. Sending and receipt of all media types, including graphics, audio, streaming
video, and the like is permitted. A user may also participate in discussions via email.
15 Selected users or an administrator may also be allowed to moderate a forum discussion as
well as limit and control membership in a group.
An interface could be provided that permits discussions across multiple discussion
groups. Optionally, links to web pages may be selected to access related sites and
published documents. Also, search capabilities could be provided to search for
20 information. Notification tools may inform a user of various events, such as when a
particular discussion is going to occur.
CONTENT SUBSCRIPTIONS
□Allows users to subscribe and unsubscribe for different services
□Allows subscribers to set up content preferences (e.g. topics)
25 □Allows users to subscribe third parties for services
The content channels component of the present invention allows users to subscribe
and unsubscribe to different services such as, for example, newsletters, travel clubs, and the
like. Users would also be allowed to limit the content of the materials received to their
particular preference. For example, a user would select several topics from a list of topics
30 and would later receive information on the selected topics. Optionally, the invention could
permit a user to subscribe third parties to selected services.
FREQUENTLY ASKED QUESTIONS
□Displays static answers to popular questions
□Dynamically generates questions and answers from a knowledge base
35 □Tracks knowledge experts based on content authors and discussion forum
participation
Referring to operation 2206 of Figure 22, the content channels component of the
present invention would also include a component for displaying static answers to popular
questions. The questions and answers could be dynamically generated from a knowledge
40 base. Optionally, the questions and answers could be ranked in order from the most to the
least viewed or vice versa or could be organized by topic. Also optionally, a search engine
could select relevant questions based on a user's input criteria.
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CHAT CAPABILITIES IN REAL TIME
□Provides public and private messages
□Provides Collaborative Web touring, URL pasting
□Allows dynamic (public/private) room creation
□Notifies users if another user is on— line
□Provides free form discussion area
□Allows for moderated chat sessions
Chat capabilities could be included in the content channels component of the
present invention. Note operation 2208 of Figure 22. Such capabilities would permit
collaborative web touring and URL pasting, for such things as permitting two or more users
to simultaneously navigate the web. The invention may notify a user when another user is
online. Further, chat rooms could be dynamically created which could restrict access to
known users or could permit open public access. Moderated chat sessions would also be
allowed. Optionally, the chat capabilities could permit posting and retrieving of public and
private messages, such as on electronic bulletin boards.
GENERATE COORDINATED AND TARGETED MESSAGES
(OUTBOUND E-MAIL)
□Targets e-mails to visitors based on profile and category system
□Logs and tracks outbound messages
□Automates regular communication triggered by events
□Tracks email responses for campaign management statistics
In operation 2210, shown in Figure 22, the content channels component of the
present invention also permits generation of messages which may be sent to selected users
at predetermined times or automatically upon occurrence of a particular event. The users
may sign up to receive the messages, or they may be selected based on user profiles or a
category system. All outbound messages are logged and tracked, as are any responses to
those messages.
MANAGE E-MAIL RECEIPT AND DELIVERY (INBOUND E-MAIL)
□Offers automated responses to consumer's questions
□Logs and tracks incoming messages
□Classifies messages based on text patterns and routes them to the appropriate
departments
□Stores messages to build customer interaction histories
□Queues messages in mailboxes for response
□Facilitates review and response process
Inbound e-mail is managed in operation 2212 of Figure 22. All incoming messages
are logged, tracked, sorted based on text patterns, and routed to the appropriate destination.
For some messages, automated responses may be sent. Other messages would be queued in
mailboxes for response. All or selected messages may be stored to build a customer
interaction history.
DYNAMIC RENDERING
□Displays content and applications based on profile
□Pulls content from multiple data sources: static, database, third party site
□Matches content to users via configurable business rules
□Allows custom template based publishing
The content channels component of the present invention also provides for generic
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and custom template based publishing by displaying selected content and applications based
on the profile of a user. Note operation 2214 of Figure 22. Content is obtained from
multiple data sources, including static, database, and third party sites. Optionally, the
content may be matched to particular users via configurable business rules.
5 ADMINISTRATIVE AND FINANCIAL WEB APPLICATION SERVICES
Another embodiment of the present invention is provided for affording a
combination of web application services to manage administration of the web application
services. See component 1404 of Figure 14. To accomplish this, information on
employment opportunities is managed and organized. Further, information relating to the
10 stock markets and corporate financial information is output. Information on legal services
is also provided.
ONLINE RECRUITING
□Displays job listings and contact numbers
□Provides forms to enter resources
15 □Accepts and stores resumes submitted
□Routes resumes to appropriate department
□Lists job interviews and campus recruiting dates
□Describes open opportunities and facilitates matching potential employees to
positions
20 The administrative component of the present invention provides for online
recruiting and job searching. Job listings and contact information are provided, as are
forms to enter resources. Also listed are interview times and locations as well as campus
recruiting dates. Resumes are accepted and stored to be later accessed by potential
employers, or are routed to an appropriate destination. The resumes may be sorted based on
25 keyword search or area of expertise, or may only be routed to certain destinations selected
by the users submitting the resumes.
SHAREHOLDER SERVICES
□Provides personalized stock tickers -
□Displays corporate financial information
30 The content channels component of the present invention provides a customizable
display including personalized stock tickers, links to corporate financial information, and an
online brokerage service. Other shareholder services could include historical graphing of
the performance of stocks over time.
LEGAL SERVICES
35 □Lists legal policies and notifications (privacy policy)
□Accepts notification of legal questions or issues
□Provides media kits
□Allows users to register for branding usage
Legal notices and policies are displayed by the content channels component of the
40 present invention. Legal questions and issues are accepted and stored for later reply. A
user is also allowed to register for branding usage. Media kits may be provided.
WEB APPLICATION SERVICES TO MANAGE CUSTOMER RELATIONSHIPS
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As shown in component 1406 of Figure 14, one embodiment of the present
invention is provided for affording a combination of web application services to manage
customer relationships. Figure 23 illustrates component 1406 in more detail. As shown in
Figure 23, profile data of a plurality of users is managed and organized in operation 2300.
5 Static and dynamic information of interest is provided to each user based on profile data of
that user in operation 2304. Further, static and dynamic information of interest is provided
to a plurality of users having similar profile data in operation 2304. Information is also
located on a network of databases, i.e. the Internet, as a function of the profile data.
Feedback is also collected from the users by way of electronic forms and surveys Note
10 operation 2306. Various event, calendaring and registration services are further provided.
For example, operation 2308 reminds the users of upcoming events, a calendar of events is
maintained, and the users are permitted to register for the events.
USER PROFILE MANAGEMENT (ACTIVE PROFILING)
□Displays and maintains user information and preferences
15 Dlntegrates with centralized source for profiles
□Allows users or administrators to modify profiles
One embodiment of the present invention is provided for utilizing all user indicia
for the purpose of customizing a user interface. Note operation 2300 of Figure 23. In use, a
user profile is developed in operation 2310 of Figure 23 A. Such user indicia may include
20 any of search requests, products purchased, products looked at but not purchased, products
purchased and returned, reasons for returning products, customer stated profile including
income level, education level, stated profession, etc. as well as preferences of the user.
Figure 23B illustrates one method for developing a user profile. In operation 2320, user
information such as search requests, shopping events, and browsing habits may be collected
25 by the system or by the user's computer for periodic download to the system. All of the
user information would be placed in a database in operation 2321 for retrieval when
necessary. Thus, a user's buying pattern for a particular type of item can be readily
estimated with relative surety in operation 2322 each time a user uses the system. Further,
the user's current activities can be logged and entered into the database in operation 2323,
30 thereby ensuring up to the minute accuracy. In operation 2311, an item for purchase with a
set of features is selected based on the user profile and is displayed. The item may be
selected from a group of items having characteristics that corresponds to a predicted buying
pattern of the user. The presentation of the set of features is customized based on the user
profile in operation 2312. For example, the features are The user is allowed to select the
35 item for purchase. See operation 2314.
For example, the present system is capable of telling that the user was on the IT
staff for an accounting firm and was reviewing software for purchase such that, when he
drills down through product details on an ecommerce website, it would highlight first the
software and hardware performance/requirements specs and next the return on investment.
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At a higher level, with the same customer, if he were searching for a word processor
software, then the profile would present a review of the best soflAvare for accounting firms
as written up in some accounting magazine. It might also compare what similar IT
professionals from accounting firms purchased.
DYNAMICALLY FACILITATE COMMUNITIES OF INTEREST
□Provides static content and applications to people with similar preferences or
business needs
□Provides dynamic content and applications to people with similar preferences
or business needs
□Communities can be created by configurable business rules
The customer relationship management component of the present invention, in
operation 2302, provides static content and applications to people with similar preferences
and business needs. Dynamic content is provided, as are applications, to people with
similar preferences and business needs.
MATCH WEB CONTENT TO SPECIFIC USER PROFILES
□Permits cross- and up-sell of products to customers based on user profile
□Offers personalized recommendations based on an individual's profile
□Targets content and advertisements based on an individual's profile
□Relates legacy databases and information to personal profile information
□Content matching rules are defined by configurable business rules
□Uses metadata and business rules to match content to profiles
The customer relationship management component of the present invention permits
matching of web content and advertisements to specific user profiles. Note operation 2304
of Figure 23. Personalized recommendations are made based on the profile of a user.
Cross- and up-selling of products to users based on their profiles is also permitted.
Optionally, content matching rules are defined by configurable business rules. In the
alternative, metadata and business rules match content to profiles. Also optionally, legacy
databases and information may be related to personal profile information.
CUSTOMER FEEDBACK AND SURVEYS
□Automates creation and administration of online feedback forms
□Allows internal users to access results from web browsers
□Builds and maintains multiple feedback forms and surveys
□Delivers and automatically processes interactive online forms
□Displays and analyzes real time survey reports in text and graphic format
□Downloads collected information for offline needs
The customer relationship management component of the present invention also
receives customer feedback and takes surveys in operation 2306. Creation, administration,
and maintenance of multiple online feedback forms and surveys is automated, as is delivery
and processing of the forms and surveys. Internal users are allowed to access results from
web browsers. Survey results are analyzed and displayed in text and graphic format.
Optionally, users may be permitted to view current survey results, such as reprots. Finally,
collected information may be downloaded for offline needs.
EVENTS, CALENDARING, AND REGISTRATION
□Offers user the ability to view upcoming events and register for them online
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□Checks identity of user to authorize registration
□Checks for relevant events based on user profiles and notifies users
□Sends out notices to remind users of upcoming events for which user has
registered
□Maintains calendar of events and administration of calendar
□Integrates with commerce functions to provide fee— based registration
capabilities (e.g. online registration via credit card)
Referring to operations 2308, 2310, and 2312 of Figure 23, the customer
relationship management component of the present invention includes a calendar of events,
a notification service, and a way to register for upcoming events. Relevant events are
selected based on the profile of a user and the user is notified of the time and place of the
event. Once the identity of a user has been verified, the registration of the user is accepted.
A notice is sent to a user to remind the user of the event for which he or she has registered.
The registration function is integrated with commerce functions to permit fee-based
registration capabilities, such as permitting online registration via credit card.
CONTENT MANAGEMENT AND PUBLISHING-RELATED
WEB APPLICATION SERVICES
□Stores current files along with past changes to documents, source code, and
Web content
□Assigns user-specific and project specific authorization for secure
administration
□Reconciles file changes from multiple users and prevents accidental code
overwriting
□Generates site maps
□Maintains metadata for content
One embodiment of the present invention, illustrated in Figure 14 as component
1408, is provided for affording a combination of content management and publishing-
related web application services. In use, referring to Figure 24, content of a data interface,
i.e. a web-site, may be developed for accessing data on a network, i.e. the Internet, after
which such content is managed in operation. Note operations 2400 and 2402, respectively.
Publishing of the content of the data interface is controlled by precluding transmission or
publication of the content until approval in operation 2404. The content of the data
interface may also be tested in operation 2406. For example, this may be accomplished by
creating a staging and deployment environment in which the data interface is analyzed.
Further features include "text-only" rendering and content workflow control.
As an option, the step of developing content of a data interface may be carried out
by a data version controller. A content developer may be automatically notified of a work
assignment. Managing the content may include assigning a secure access for specific users
and specific projects. Meta data could be maintained and language translation tools could
be utilized. Approving the publication of the content may include assigning use and access
restrictions on the content. Testing the content of the data interface may include comparing
versions of the data interface and utilizing remote and automatic testing capabilities.
Controlling Electronic Content
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A fundamental problem for electronic content providers is extending their ability to
control the use of proprietary information. Content providers often need to limit use to
authorized activities and amounts. Participants in a business model involving, for example,
provision of movies and advertising on optical discs may include actors, directors, script
5 and other writers, musicians, studios, publishers, distributors, retailers,. advertisers, credit
card services, and content end-users. These participants need the ability to embody their
range of agreements and requirements, including use limitations, into an "extended"
agreement comprising an overall electronic business model. This extended agreement is
represented by electronic content control information that can automatically enforce agreed
10 upon rights and obligations. Under WAF, such an extended agreement may comprise an
electronic contract involving all business model participants. Such an agreement may
alternatively, or in addition, be made up of electronic agreements between subsets of the
business model participants. Through the use of WAF, electronic commerce can function in
the same way as traditional commerce — that is commercial relationships regarding
15 products and services can be shaped through the negotiation of one or more agreements
between a variety of parties.
Commercial content providers are concerned with ensuring proper compensation
for the use of their electronic information. Electronic digital information, for example a CD
recording, can today be copied relatively easily and inexpensively. Similarly, unauthorized
20 copying and use of software programs deprives rightful owners of billions of dollars in
annual revenue according to the International Intellectual Property Alliance. Content
providers and distributors have devised a number of limited function rights protection
mechanisms to protect their rights. Authorization passwords and protocols, license servers,
"lock/unlock" distribution methods, and non-electronic contractual limitations imposed on
25 users of shrink-wrapped software are a few of the more prevalent content protection
schemes. In a commercial context, these efforts are inefficient and limited solutions.
Providers of "electronic currency" have also created protections for their type of
content. These systems are not sufficiently adaptable, efficient, nor flexible enough to
support the generalized use of electronic currency. Furthermore, they do not provide
30 sophisticated auditing and control configuration capabilities. This means that current
electronic currency tools lack the sophistication needed for many real-world financial
business models. WAF provides means for anonymous currency and for "conditionally"
anonymous currency, wherein currency related activities remain anonymous except under
special circumstances.
35 WAF Control Capabilities
WAF allows the owners and distributors of electronic digital information to reliably
bill for, and securely control, audit, and budget the use of, electronic information. It can
reliably detect and monitor the use of commercial information products. WAF uses a wide
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variety of different electronic information delivery means: including, for example, digital
networks, digital broadcast, and physical storage media such as optical and magnetic disks.
WAF can be used by major network providers, hardware manufacturers, owners of
electronic information, providers of such information, and clearinghouses that gather usage
5 information regarding, and bill for the use of, electronic information.
WAF provides comprehensive and configurable transaction management, metering
and monitoring technology. It can change how electronic information products are
protected, marketed, packaged, and distributed. When used, WAF should result in higher
revenues for information providers and greater user satisfaction and value. Use of WAF
10 will normally result in lower usage costs, decreased transaction costs, more efficient access
to electronic information, re-usability of rights protection and other transaction
management implementations, greatly improved flexibility in the use of secured
information, and greater standardization of tools and processes for electronic transaction
management. WAF can be used to create an adaptable environment that fulfills the needs of
15 electronic information owners, distributors, and users; financial clearinghouses; and usage
information analyzers and resellers.
WAF provides a secure, distributed electronic transaction management system for
controlling the distribution and/or other usage of electronically provided and/or stored
information. WAF controls auditing and reporting of electronic content and/or appliance
20 usage. Users of WAF may include content creators who apply content usage, usage
reporting, and/or usage payment related control information to electronic content and/or
appliances for users such as end-user organizations, individuals, and content and/or
appliance distributors. WAF also securely supports the payment of money owed (including
money owed for content and/or appliance usage) by one or more parties to one or more
25 other parties, in the form of electronic credit and/or currency.
WAF may be used to migrate most non-electronic, traditional information delivery
models (including entertainment, reference materials, catalog shopping, etc.) into an
adequately secure digital distribution and usage management and payment context. The
distribution and financial pathways managed by a WAF arrangement may include:
30 content creator(s),
distributor(s),
redistributor(s),
client administrator(s),
client user(s),
35 financial and/or other clearinghouse(s),
and/or government agencies.
These distribution and financial pathways may also include:
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advertisers,
market survey organizations, and/or
other parties interested in the user usage of information securely delivered and/or
stored using WAF.
5 Normally, participants in a WAF arrangement will employ the same secure WAF
foundation. Alternate embodiments support WAF arrangements employing differing WAF
foundations. Such alternate embodiments may employ procedures to ensure certain
interoperability requirements are met.
Because of the breadth of issues resolved by the present invention, it can provide
10 the emerging "electronic highway" with a single transaction/distribution control system that
can, for a very broad range of commercial and data security models, ensure against
unauthorized use of confidential and/or proprietary information and commercial electronic
transactions. WAF's electronic transaction management mechanisms can enforce the
electronic rights and agreements of all parties participating in widely varying business and
15 data security models, and this can be efficiently achieved through a single WAF
implementation within each WAF participant's electronic appliance. WAF supports widely
varying business and/or data security models that can involve a broad range of participants
at various "levels" of WAF content and/or content control information pathways of
handling. Different content control and/or auditing models and agreements may be available
20 on the same WAF installation. These models and agreements may control content in
relationship to, for example, WAF installations and/or users in general; certain specific
users, installations, classes and/or other groupings of installations and/or users; as well as to
electronic content generally on a given installation, to specific properties, property portions,
classes and/or other groupings of content.
25 Distribution using WAF may package both the electronic content and control
information into the same WAF container, and/or may involve the delivery to an end-user
site of different pieces of the same WAF managed property from plural separate remote
locations and/or in plural separate WAF content containers and/or employing plural
different delivery means. Content control information may be partially or fully delivered
30 separately from its associated content to a user WAF installation in one or more WAF
administrative objects. Portions of said control information may be delivered from one or
more sources. Control information may also be available for use by access from a user's
WAF installation secure sub-system to one or more remote WAF secure sub-systems
and/or WAF compatible, certified secure remote locations. WAF control processes such as
35 metering, budgeting, decrypting and/or fingerprinting, may as relates to a certain user
content usage activity, be performed in a user's local WAF installation secure subsystem, or
said processes may be divided amongst plural secure subsystems which may be located in
the same user WAF installations and/or in a network server and in the user installation. For
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example, a local WAF installation may perform decryption and save any, or all of, usage
metering information related to content and/or electronic appliance usage at such user
installation could be performed at the server employing secure (e.g., encrypted)
communications between said secure subsystems. Said server location may also be used for
5 near real time, frequent, or more periodic secure receipt of content usage information from
said user installation, with, for example, metered information being maintained only
temporarily at a local user installation.
Delivery means for WAF managed content may include electronic data storage
means such as optical disks for delivering one portion of said information and broadcasting
10 and/or telecommunicating means for other portions of said information. Electronic data
storage means may include magnetic media, optical media, combined magneto— optical
systems, flash RAM memory, bubble memory, and/or other memory storage means such as
huge capacity optical storage systems employing holographic, frequency, and/or polarity
data storage techniques. Data storage means may also employ layered disc techniques, such
15 as the use of generally transparent and/or translucent materials that pass light through layers
of data carrying discs which themselves are physically packaged together as one thicker
disc. Data carrying locations on such discs may be, at least in part, opaque.
WAF control information (e.g., methods) that collectively control use of WAF
managed properties (database, document, individual commercial product), are either
20 shipped with the content itself (for example, in a content container) and/or one or more
portions of such control information is shipped to distributors and/or other users in
separably deliverable "administrative objects." A subset of the methods for a property may
in part be delivered with each property while one or more other subsets of methods can be
delivered separately to a user or otherwise made available for use (such as being available
25 remotely by telecommunication means). Required methods (methods listed as required for
property and/or appliance use) must be available as specified if WAF controlled content
(such as intellectual property distributed within a WAF content container) is to be used.
Methods that control content may apply to a plurality of WAF container objects, such as a
class or other grouping of such objects. Methods may also be required by certain users or
30 classes of users and/or WAF installations and/or classes of installations for such parties to
use one or more specific, or classes of, objects.
A feature of WAF provided by the present invention is that certain one or more
methods can be specified as required in order for a WAF installation and/or user to be able
to use certain and/or ail content. For example, a distributor of a certain type of content
35 might be allowed by "senior" participants (by content creators, for example) to require a
method which prohibits end-users from electronically saving decrypted content, a provider
of credit for WAF transactions might require an audit method that records the time of an
electronic purchase, and/or a user might require a method that summarizes usage
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information for reporting to a clearinghouse (e.g. billing information) in a way that does not
convey confidential, personal information regarding detailed usage behavior.
A further feature of WAF provided by the present invention is that creators,
distributors, and users of content can select from among a set of predefined methods (if
5 available) to control container content usage and distribution functions and/or they may
have the right to provide new customized methods to control at least certain usage functions
(such "new" methods may be required to be certified for trustedness and interoperability to
the WAF installation and/or for of a group of WAF applications). As a result, WAF
provides a very high degree of configurability with respect to how the distribution and other
10 usage of each property or object (or one or more portions of objects or properties as desired
and/or applicable) will be controlled. Each WAF participant in a WAF pathway of content
control information may set methods for some or all of the content in a WAF container, so
long as such control information does not conflict with senior control information already
in place with respect to:
15 (1) certain or all WAF managed content,
(2) certain one or more WAF users and/or groupings of users,
(3) certain one or more WAF nodes and/or groupings of nodes, and/or
(4) certain one or more WAF applications and/or arrangements.
For example, a content creator's WAF control information for certain content can
20 take precedence over other submitted WAF participant control information and, for
example, if allowed by senior control information, a content distributor's control
information may itself take precedence over a client administrator's control information,
which may take precedence over an end-user's control information. A path of distribution
participant's ability to set such electronic content control information can be limited to
25 certain control information (for example, method mediating data such as pricing and/or
sales dates) or it may be limited only to the extent that one or more of the participant's
proposed control information conflicts with control information set by senior control
information submitted previously by participants in a chain of handling of the property, or
managed in said participant's WAF secure subsystem.
30 WAF control information may, in part or in full, (a) represent control information
directly put in place by WAF content control information pathway participants, and/or (b)
comprise control information put in place by such a participant on behalf of a party who
does not directly handle electronic content (or electronic appliance) permissions records
information (for example control information inserted by a participant on behalf of a
35 financial clearinghouse or government agency). Such control information methods (and/or
load modules and/or mediating data and/or component assemblies) may also be put in place
by either an electronic automated, or a semi-automated and human assisted, control
information (control set) negotiating process that assesses whether the use of one or more
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pieces of submitted control information will be integrated into and/or replace existing
control information (and/or chooses between alternative control information based upon
interaction with in-place control information) and how such control information may be
used,
5 Control information may be provided by a party who does not directly participate in
the handling of electronic content (and/or appliance) and/or control information for such
content (and/or appliance). Such control information may be provided in secure form using
WAF installation secure sub-system managed communications (including, for example,
authenticating the deliverer of at least in part encrypted control information) between such
10 not directly participating one or more parties* WAF installation secure subsystems, and a
pathway of WAF content control information participants WAF installation secure
subsystem. This control information may relate to, for example, the right to access credit
supplied by a financial services provider, the enforcement of regulations or laws enacted by
a government agency, or the requirements of a customer of WAF managed content usage
15 information (reflecting usage of content by one or more parties other than such customer)
relating to the creation, handling and/or manner of reporting of usage information received
by such customer. Such control information may, for example, enforce societal
requirements such as laws related to electronic commerce.
WAF content control information may apply differently to different pathway of
20 content and/or control information handling participants. Furthermore, permissions records
rights may be added, altered, and/or removed by a WAF participant if they are allowed to
take such action. Rights of WAF participants may be defined in relation to specific parties
and/or categories of parties and/or other groups of parties in a chain of handling of content
and/or content control information (e.g., permissions records). Modifications to control
25 information that may be made by a given, eligible party or parties, may be limited in the
number of modifications, and/or degree of modification, they may make.
At least one secure subsystem in electronic appliances of creators, distributors,
auditors, clearinghouses, client administrators, and end-users (understanding that two or
more of the above classifications may describe a single user) provides a "sufficiently"
30 secure (for the intended applications) environment for:
1 . Decrypting properties and control information;
2. Storing control and metering related information;
3. Managing communications;
4. Processing core control programs, along with associated data, that constitute control
35 information for electronic content and/or appliance rights protection, including the
enforcing of preferences and requirements of WAF participants.
Normally, most usage, audit, reporting, payment, and distribution control methods
are themselves at least in part encrypted and are executed by the secure subsystem of a
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WAF installation. Thus, for example, billing and metering records can be securely
generated and updated, and encryption and decryption keys are securely utilized, within a
secure subsystem. Since WAF also employs secure (e.g. encrypted and authenticated)
communications when passing information between the participant location (nodes) secure
5 subsystems of a WAF arrangement, important components of a WAF electronic agreement
can be reliably enforced with sufficient security (sufficiently trusted) for the intended
commercial purposes. A WAF electronic agreement for a value chain can be composed, at
least in part, of one or more subagreements between one or more subsets of the value chain
participants. These subagreements are comprised of one or more electronic contract
10 "compliance" elements (methods including associated parameter data) that ensure the
protection of the rights of WAF participants.
The degree of trustedness of a WAF arrangement will be primarily based on
whether hardware SPUs are employed at participant location secure subsystems and the
effectiveness of the SPU hardware security architecture, software security techniques when
15 an SPU is emulated in software, and the encryption algorithm(s) and keys that are employed
for securing content, control information, communications, and access to WAF node (WAF
installation) secure subsystems. Physical facility and user identity authentication security
procedures may be used instead of hardware SPUs at certain nodes, such as at an
established financial clearinghouse, where such procedures may provide sufficient security
20 for trusted interoperability with a WAF arrangement employing hardware SPUs at user
nodes.
The updating of property management files at each location of a WAF arrangement,
to accommodate new or modified control information, is performed in the WAF secure
subsystem and under the control of secure management file updating programs executed by
25 the protected subsystem. Since all secure communications are at least in part encrypted and
the processing inside the secure subsystem is concealed from outside observation and
interference, the present invention ensures that content control information can be enforced.
As a result, the creator and/or distributor and/or client administrator and/or other
contributor of secure control information for each property (for example, an end-user
30 restricting the kind of audit information he or she will allow to be reported and/or a
financial clearinghouse establishing certain criteria for use of its credit for payment for use
of distributed content) can be confident that their contributed and accepted control
information will be enforced (within the security limitations of a given WAF security
implementation design). This control information can determine, for example:
35 (1) How and/or to whom electronic content can be provided, for example, how an
electronic property can be distributed;
(2) How one or more objects and/or properties, or portions of an object or property,
can be directly used, such as decrypted, displayed, printed, etc;
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(3) How payment for usage of such content and/or content portions may or must be
handled; and
(4) How audit information about usage information related to at least a portion of a
property should be collected, reported, and/or used.
5 Seniority of contributed control information, including resolution of conflicts
between content control information submitted by multiple parties, is normally established
by:
(1) the sequence in which control information is put in place by various parties (in
place control information normally takes precedence over subsequently submitted control
10 information),
(2) the specifics of WAF content and/or appliance control information. For
example, in-place control information can stipulate which subsequent one or more piece of
control from one or more parties or class of parties will take precedence over control
information submitted by one or more yet different parties and/or classes of parties, and/or
15 (3) negotiation between control information sets from plural parties, which
negotiation establishes what control information shall constitute the resulting control
information set for a given piece of WAF managed content and/or WAF installation.
CONTENT DEVELOPMENT TOOLS
□Shows view of site's navigational structure, directories of information,
20 hyperlinks, hyperlink status, or all files at once
□Provides automatic hyperlink maintenance
□Creates WYSIWYG frames pages and draws HTML tables
□Supports editing of graphics
□Generates web sites and pages from predefined formats
25 almports existing files or folders into web site
□Integrates with version control tools
□Allows metadata editing and definition
Operation 2400 of the content management and publishing services component of
the present invention provides tools for developing content of a data interface for accessing
30 data on a network. In particular, a view of the navigational structure, directories of
information, hyperlinks, hyperlink status, or all files of the site is shown. Hyperlinks may
be maintained automatically. Graphics editing is supported. Predefined formats may be
provided to assist in generatmg web sites and pages. Optionally, WYSIWYG frames pages
may be created and HTML tables may be drawn. Also optionally, metadata editing and
35 definition may be allowed. Existing files or folders may be imported into a web site.
Ideally, the content management and publishing services component of the present
invention integrates with version control tools.
CONTENT MANAGEMENT CAPABILITIES
The content management and publishing services component of the present
40 invention also manages the content and security of the data interface. Note operation 2402
of Figure 24. Current files are stored along with past changes to documents, source code,
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and web content. User specific and project specific authorization is assigned to ensure
secure administration. File changes among multiple users are reconciled so that accidental
code overwriting is avoided. Site maps are generated and metadata is maintained for
content,
5 CONTENT APPROVAL
□Controls access to content publishing
□Permits publishing of material only after approval
□Notifies approver of material to review
□Describes the business rules for syndication, including who can have it, when,
10 for how long, and any restrictions on use or reuse of the digital asset
Operation 2404 of the content management and publishing services component of
the present invention precludes publishing of the content of the data interface until approval
so that access to content publishing is controlled. The administrator who approves the
content is notified of the new content so that he or she may review the content. Optionally,
15 the business rules for syndication are set forth, including proprietary rights, beginning date
and duration of those rights, and any restrictions on use and reuse.
CONTENT WORKFLOW
□Generates site maps based on collection of stored web pages
□Provides content workflow view to all developers
20 □Allows content managers to change content workflow
□Provides change request and change notification routing
□Alerts developers of changes in content workflow
□Manages large numbers of sub-projects and organizes them into groups
□Allows sub-projects to automatically and remotely download available digital
25 assets and remotely change them over time
□Allows developers to group content for particular sub-projects
□Alerts developers of content in work queue
□Allows routing of content to multiple parties
The content management and publishing services component of the present
30 invention controls the content workflow. Site maps are generated based on a collection of
stored web pages which, along with content workflow view, is provided to developers.
Content managers are allowed to change content workflow and group content for particular
sub projects. Change requests may also be submitted and change notifications are routed to
appropriate destinations. Developers are alerted to changes in content workflow as well as
35 the contents of the work queue.
Large numbers of sub-projects are managed and organized into groups. The sub-
projects are then allowed to automatically and remotely download available digital assets
and remotely change them over time.
CONTENT REVIEW AND TESTING TOOLS
40 □Provides ability to preview content
□Compares the differences in a project against another project, or in two
different folders
□Provides data-driven testing capabilities
□Allows script maintenance and reuse
45 □Reports where errors are found
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□Enables remote and timed testing capabilities
□Supports multiple source and destination environments
The content of the data interface is tested in operation 2406. The content is able to
be previewed so that any errors or inconsistencies can be fixed. Also provided are data-
5 driven testing capabilities. Further, remote testing, periodic testing, and durational testing
may be performed. When an error is found, a report is output.
Optionally, two or more projects may be compared to determine the differences
between the two. Likewise, data stored in two or more different folders may also be
compared. Also optionally, scripts are tested and maintained, and can be reused. Further,
10 support is provided for multiple source and destination environments.
LOCALIZATION AND TRANSLATION CAPABILITIES
□Provides translation services from single to entire web sites, text-embedded
in images, Java and Javascript source code and parameters, CGI scripts. Database files.
Email, Adobe PDF files
15 nEnables site update and maintenance procedures for localization
□Alerts local web site content managers to changes in web site
□Tracks localization process
The content management and publishing services component also includes
localization and translation capabilities in operation 2408, Site updates and maintenance
20 procedures for localization are enabled, and the localization process is tracked. The local
web site content manager is alerted to any change in the web site. Also, translation services
are provided for single pages to entire web sites. For example, the translation services
translate text embedded in images, JAVA, JAVASCRIPT source code and parameters, CGI
scripts, database files, email, and ADOBE PDF files to and from each other.
25 TEXT ONLY RENDERING CAPABILITIES
□Facilitates "text-only" site rendering based on business rules
□Allows modification/customization of text-only pages
□
The content management and publishing services component facilitates "text-only"
30 site rendering based on business rules, particularly useful for users with low end systems or
without graphics displaying capabilities. This also simplifies modification and
customization of text-only pages.
STAGING AND DEPLOYMENT TOOLS
□Creates staging and deployment environments to test content in a mirrored
35 production environment prior to deployment
□Provides ability to release content based on time
□Allows the ability to roll-back to a previous production version
□Integrates with content approval process
□Provides load, regression and performance testing capabilities
40 The content management and publishing services component of the present
invention creates an environment in which the content of the data is tested. This testing
may be carried out by creating a staging and deployment environment in a mirrored
production environment prior to deployment. Exemplary testing capabilities include load,
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regression, and performance testing capabilities. If a problem arises, a previous production
version may be put back into use. Further, content may be released over time. Optionally,
the testing environment may be integrated with the content approval process to ensure
compliance with content guidelines before actual deployment of the content.
EDUCATION-RELATED WEB APPLICATION SERVICES
One embodiment of the present invention is provided for affording a combination
of education-related web application services, illustrated as component 1410 of Figure 14.
Figure 25 provides more detail. In operations 2500 and 2502 respectively, a curriculum of
course offerings is generated from which users are permitted to select, i.e. order, register,
etc. Education such as training or the like is carried out over a network such as the Internet
in operation 2504. At any given time, a status of the education may be provided, including
such things as a listing of the courses completed, scores for the courses completed, a listing
of courses for which currently enrolled and the current scores in those courses, a listing of
courses required to matriculate, etc. Note operation 2506.
Many school systems have become highly centralized. Large schools have evolved,
which serve wide geographic areas. The geographic area covered by some schools is so
wide that certain students must make a round trip of one hundred miles, or more, to attend
classes.
One benefit of a large, centralized school is that a vast, diverse Error! Bookmark
not defined.curriculum can be offered. It is desirable to offer the diverse Error!
Bookmark not defined.curriculum, without imposing the long-distance travel on students.
In one form of the invention, a system of computers store lessons which are
transmitted to computers used by students. At intervals, the invention assess the students*
progress, and selects appropriate lessons for the student at the time.
Highly Simplified Overview
REPOSITORIES hold educational computer programs. Students obtain access to
the programs needed, via the NETWORK indicated. The programs instruct the students in
an interactive manner.
The students need not be present at the REPOSITORIES, but station themselves at
convenient locations, such as their homes, thereby eliminating the need to travel to a
physical facility to attend classes.
The Educational Programs
The teaching programs themselves are commercially available, and new programs
will be developed as systems such as the present invention become more widely
implemented.
Programs which test students, in order to determine the students* master of material,
are also commercially available.
The invention provides several highly innovative features which significantly
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enhance the effectiveness of these teaching programs and testing programs.
Profiles
One is that a PROFILE is generated for each student. PROFILES are discussed in
the Related Applications. As adapted to the present invention, the PROFILE is, in simple
5 terms, a description of (a) the present educational status, (b) the educational needs and (c)
the educational capabilities, of the student.
Educational Status
Educational status refers to the student's present position in the student's
educational career. For example, third-month, secondary-school freshman is one status.
10 The invention uses the educational status in deciding what material to present the
student at a given time, as discussed more fully below.
Educational Needs
Educational needs refer to the instruction needed by the student at the time, which
is largely determined by the student's Error! Bookmark not defined.curriculum. For
15 example, the lessons needed by a college sophomore having a Error! Bookmark not
defined.curriculum of college chemistry, with emphasis on organic synthesis, are known.
Educational Characteristics
Educational characteristics refer to the manner of teaching to which the student best
responds. That is, the invention identifies learning characteristics of each student, and
20 presents material in a manner compatible with the characteristics.
As a simple example, some students can understand the Pythagorean Theorem
directly from its mathematical statement, namely,
hypotenuse. sup.2 =sideLsup.2 +side2.sup.2.
Other students do not obtain information from such an abstract statement, and must
25 see the Theorem applied to specific examples before they understand it.
The preferred learning styles are ascertained by a combination of student-counselor
interviews. Error! Bookmark not defined,computei^assisted examination of the student,
and standard psychological assessment.
The invention uses the PROFILES to select material to present to the student during
30 each session. The PROFILE is updated, if required, at each students' learning session, to
indicate progress made during the session. This updating is automatic, and done non-
intrusively.
Different Presentation of Given Lesson
The invention includes educational programs which present a given lesson in
35 different ways, in order to accommodate the fact that different students assimilate material
in different ways. This collection of different presentations allows implementation of two
teaching approaches.
1. Different Presentations of SAME Lesson for DIFFERENT Students
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As discussed immediately above, because different students have different learning
characteristics, the invention selects a suitable manner of presentation from the collection,
based on the learning characteristics of the student. The selection is made based on the
PROFILE.
2. Different Presentations of SAME Lesson for SAME Student
The collection of presentations can be used to offer different presentations to a
given student, if the student fails to master a lesson v^hen presented the first time. Three
reasons exist which indicate that this approach may be desirable.
One, it is expected that a given student does not maintain constant learning
characteristics at all times.
Two, the characterization of learning style of a student is not a perfect science.
Thus, even if the learning characteristics never change, it is not clear that a perfect match
can always be made between a style of presentation and the learning characteristics of the
student.
Three, even if the classification of learning style becomes perfected, the subject
matter of some lessons may not be amenable to the learning style preferred by the student.
For example, there exists a "left-brain, right-brain" conception of human thinking, wherein
the left-brain is believed to manage logic, and the right-brain manages creativity and
imagery.
For a "right-brain" student, there may exist no directly compatible teaching
strategy for explaining "left-brain" subject matter. For instance, there may be no perfectly
compatible teaching strategy to explain the principles of artistic color theory to a right-
brain student undertaking a Error! Bookmark not defined.curriculum of nuclear physics.
Therefore, the invention presents a given lesson in successive, different ways, if the
student does not master the lesson the first time.
Subject Matter Expert
If a student fails to demonstrate mastery of a lesson after a prescribed number of
attempts, the invention establishes a video conference between the student and a SUBJECT
MATTER EXPERT. The SUBJECT MATTER EXPERT is a consultant who is expert in
the subject matter of the lesson causing difficulty. The video conference allows the
SUBJECT MATTER EXPERT to identify the difficuhies encountered by the student, and
to offer coaching.
Establishment of the video conference is allowed by commercially available
systems, such as the CLS system described below, and also described in the Related
Applications.
CLS places no geographic restriction on the location of the SUBJECT MATTER
EXPERT, except that the expert must be able to establish a communication link with the
system. With no such restrictions, the SUBJECT MATTER EXPERT can be located
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anywhere in the world. This feature allows Subject Matter Experts of the highest caliber to
be obtained, because such experts are a rare species, and not easily located.
Intelligent Administrator
An INTELLIGENT ADMINISTRATOR, I A, taking the form of a system of
5 programs and Error! Bookmark not defined.computer objects, organizes the instructional
activity. The lA does the following: examines the PROFILE of each student, selects the
proper lessons for each session, administers examinations to the students, updates the
PROFILE, and patches up the student with a SUBJECT MATTER EXPERT when
necessary. In addition, the lA assesses the performance of the student, in a continual and
1 0 non-intrusive manner.
The I A itself can call upon its own SUBJECT MATTER EXPERTS when it
encounters a condition which its programming and organization cannot handle.
Greater Detail Concerning Invention
Invention Utilizes Commercially Available Equipment
15 The invention can be utilized in conjunction with the information management
system sold under the trade name "Continuous Learning System" (CLS) and available from
AT&T Global Information Solutions Company, Dayton, Ohio. CLS provides the systems to
allow the remote access and video conferencing described above.
This discussion will explain some of the relevant features of CLS, and will then
20 consider in greater detail the PROFILES and the lA.
1. CLS Uses Multiple, Linked Computers. In CLS, users interact with micro-
computers, such as the well-known, highly advanced, and inexpensive Personal Error!
Bookmark not defined.Computer (PC). The micro-computers are located at locations of
the users' preference, such as their homes, offices, or vehicles. The micro-computers
25 connect with CLS by data links, such as private or public data networks, or by
commercially available telephone channels.
The links can take the form of traditional, hard-wired telephone channels, or
wireless links, such as provided by cellular telephone service.
2. CLS Has Vast Storage Capability. Entire Error! Bookmark not
30 defined.Curriculum can be Stored. CLS acts as a storage facility for materials which are
generically called RESOURCES. RESOURCES can be classified into two types, namely (a)
those which are downloadable and (b) those which are not. Two examples of downloadable
RESOURCES are (a) a Error! Bookmark not defined.computer program, and (b) a file
stored on a mass storage medium, such as a disc- or tape drive. Two examples of
35 RESOURCES which are NOT downloadable are (a) a 35 mm film and (b) a book, in paper
format.
Static and Dynamic Resources
RESOURCES consist of anything which has potential value in terms of recovering
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knowledge. RESOURCES include, for example, information which can be downloaded,
such as data, files. Error! Bookmark not defined.computer applications, Error!
Bookmark not defined.computer-managed instruction. RESOURCES also include
SYSTEMS, such as the commercially available information services known as CompuServe
and Prodigy, because these SYSTEMS allow recovery of knowledge. Subject Matter
Experts are also RESOURCES. RESOURCES can be classified in a different way, namely,
as either static or dynamic. The RESOURCES discussed above are of the static type,
because, at the time of recovery, they are pre-existing.
Dynamic RESOURCES are not pre-existing at the time of recovery, but come into
existence at the time of recovery. For example, when television news media cover an event
in real time, such as the State-of-the-Union Address of the President of the United States,
information contained in the Address becomes available for recovery (if the news media is
linkable to CLS or an equivalent). The information was not pre-existing, but came into
existence at the time recovery became possible. (Of course, there is an extremely short time
delay between the time of the Address and time recovery becomes possible. This time is
considered negligible, and does not render the Address pre-existing.)
Non-Downloadable RESOURCES Can be Used
In general, it is expected that the invention will utilize downloadable RESOURCES
primarily. However, because the vast storage ability allows the invention to hold a Error!
Bookmark not defined.curriculum of truly immense proportions, it is expected that many
educational courses will refer to materials which cannot be rendered into downloadable
format, for reasons such as copyright laws. For such courses, the automated retrieval
capabilities of CLS become significant. These features are described in the Related
Applications.
Storage facilities in CLS are called REPOSITORIES. A REPOSITORY includes
one microError! Bookmark not defined.-computer, or a group of micro-computers at a
single location. (REPOSITORIES can also contain more advanced computers, such as
main-frames and mini-computers.) The REPOSITORIES themselves can be distributed
over an extremely wide geographic area; they can be spread world-wide. As a result, the
RESOURCES will likewise be widely distributed, because they are stored in the
REPOSITORIES.
However, despite this geographically distributed storage of RESOURCES, and
despite the vast total storage capability of the overall system, CLS allows the user to deal
with all downloadable RESOURCES as though physically present on the user's Error!
Bookmark not defined.computer. That is, in effect, the user sees all RESOURCES, no
matter where located, as though located in the storage devices of the user's own Error!
Bookmark not defined.computer.
Therefore, several school districts can maintain their own REPOSITORIES.
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However, because the REPOSITORIES are linked by CLS, to the student, all RESOURCES
appear to be located at a single, convenient location. (Of course, under CLS the student can,
if desired, ascertain the fact that the RESOURCES reside in different REPOSITORIES, and
are not, in fact, located at a single place.)
5 3. CLS Has Database Characteristics. CLS can be viewed as a type of database, but
with several distinguishing features. One, the storage capacity of CLS is, for practical
purposes, without limitation. One reason is that the architecture of CLS centers upon the
PC. Expansion of storage in PCs is simple and inexpensive. Further, additional PCs can be
added to CLS with little or no software modification: CLS is designed to accommodate this
10 expansion. Stated in other words, the PCs are directly concatenable. In principle, there is no
practical limit to the amount of storage available.
A second feature is that CLS allows a user to see a list of RESOURCES, to which
the user is allowed access, and allows the user to select a RESOURCE. If the RESOURCE
is a Error! Bookmark not defined. computer program, or other object that runs on a
15 processor, CLS retrieves the selected RESOURCE, and launches it.
In the present context, this feature is important, because the RESOURCES include
educational Error! Bookmark not defined.computer programs, as discussed below. When
the student, or the INTELLIGENT ADMINISTRATOR, selects a RESOURCE, CLS
automatically launches it, if possible.
20 4. CUSTODIAN of Each REPOSITORY Controls Contents (ie, Resources) of
REPOSITORY, and Controls Access to RESOURCES Contained within the
REPOSITORY. The person, or agency, having physical custody of each REPOSITORY has
the power to load RESOURCES into storage within the computers of the REPOSITORY.
Thus, the CUSTODIAN controls the contents of the REPOSITORY. Further, CLS allows
25 the CUSTODIAN to designate the parties who shall be granted access to each RESOURCE.
Under the present invention, a local school district, for example, will control the
RESOURCES, which contain the Error! Bookmark not defined.curriculum for the
students. This school district will control access to the RESOURCES, and can grant access
to students of other districts, if desired.
30 5. Each RESOURCE Has a PROFILE. A "RESOURCE PROFILE" is a collection
of information which describes a RESOURCE. The PROFILE contains, for example,
a) a descriptive title;
b) the REPOSITORY containing the RESOURCE;
c) information about physical characteristics of the RESOURCE (media type, such as
35 Error! Bookmark not defined.computer disc, video tape, paper book, etc.);
d) relevant dates, such as date of loading into the REPOSITORY;
e) security-related information;
f) and so on.
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The PROFILES are somewhat analogous to the cards of the card catalog of a
library. In a library, the books, and other media, such as film and video tape, constitute
RESOURCES. In CLS, the RESOURCES include a more diverse array of media types than
a library, but the PROFILES serve a function similar to that of the cards.
5 Adaption of CLS to Education
A LEARNING PROFILE is generated for each student, in a manner discussed in
greater detail below, and these are called LEARNING PROFILES, to distinguish them from
RESOURCE PROFILES, which describe RESOURCES, and not students. The LEARNING
PROFILES conform to the PROFILES used by CLS for RESOURCES generally. The
10 student-PROFILEs contain information about the student which is relevant to the
INTELLIGENT ADMINISTRATOR. The LEARNING PROFILES can be arranged to
follow the students through their entire careers, subject to legislation regarding privacy of
the content of the LEARNING PROFILES.
LEARNING PROFILE Creation
15 The LEARNING PROFILE can be created in numerous different ways. For
example, standard psychological testing techniques and personal interviews can allow a
counsellor to generate a LEARNING PROFILE, which is loaded into CLS.
As another example, CLS itself can administer known, standard tests, and develop
the LEARNING PROFILES without intervention of a counsellor. In practice, the
20 LEARNING PROFILE generation will probably be undertaken in a procedure which is a
hybrid of these two examples. At the end of the Specification, a discussion is given
regarding learning strategies, and contains additional material relevant to LEARNING
PROFILE generation.
PROFILE Content
25 The LEARNING PROFILES contain information such as the following:
1. Student's Error! Bookmark not defined.curriculum, or "major." One benefit of
the invention is that all students, at all levels, can be given individualized attention. Even
very young students can be given a "major" if desirable.
That is, in present educational systems, younger students, such as those in the
30 earlier years of primary education, are usually not given specific curricula. For these
students, education tends to be non-specialized and generic; all students tend to be given
similar courses.
The invention allows education to be tailored to individual needs, at all educational
levels. One reason is reduction in cost: the invention contains the vast array of lessons
35 needed to provide individual attention. There is very little added cost in making the
individual attention available to additional students.
2. Preferred teaching strategies. At the end of the Specification, teaching strategies
are discussed. In general, different teaching strategies are available for most, if not all,
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subjects. As an example, the Suzuki method of teaching piano illustrates one teaching
strategy.
Under this strategy, students listen to recordings of piano music played by a master,
and then imitate the master by playing the music themselves, while reading sheet scores of
5 the music. While the student plays, a teacher coaches the student. Right from the start, the
student plays complete (though simple) songs.
In contrast, under another method, the student does not initially study complete
songs, but instead studies the components of songs, namely, single notes, their duration,
their intensity, and so on.
10 Both methods have their advocates and critics. Without considering the debate
itself, it seems reasonable to assume that neither method is perfectly suited to all students.
The invention, if called upon to teach piano, would recognize this fact. Under the
invention, each student's PROFILE contains an indication of the student's preference, such
as for the Suzuki method, or another approach, and the student is instructed accordingly.
15 3. Student's present standing. The PROFILES contain a statement of the student's
previous accomplishments, which indicate the student's present standing, or status. From a
lifetime viewpoint, the present standing refers to the present educational level of the
student, such as fifth grade, or college sophomore.
From a more focused viewpoint, the present standing refers to the courses presently
20 being taken, and the progress made in each. For example, in a high-school course in
algebra containing 60 lessons, the present standing will indicate the number of lessons
successfully completed.
The present standing provides specific information for CLS to use in determining
what material to present to a student during a given session.
25 The present standing is preferably ascertained in a non-intrusive, transparent
manner, based on a demonstration of level of competency by the student. Level of
competency can be determined, in many, if not most, subjects, by assessment in a
hierarchical fashion. For example, assume that a given student is undertaking a course in
calculus. Calculus textbooks present material in a sequential manner, in the sense that
30 mastery of earlier material is required as a prerequisite to understanding later material. A
simple assessment of level of competency of a student can be done by determining in which
chapter of the textbook the student's mastery ends.
As another example, assume that the student is undertaking a course in gas turbine
engine maintenance. Many maintenance procedures involve sequences of events, wherein
35 the order cannot be changed. A student's level of competency can be assessed by
determining how much of a given sequence the student has mastered.
It is significant that the source of a student's knowledge which determine the level
of competence is not germane to the assessment process. The assessment process seeks to
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determine a level of performance, or level of competency, because the goal of the overall
education process is to enhance ability to perform.
4. Significant personalized information. This is perhaps a sub-class of preferred
teaching strategies. This section contains information about unique attributes of the student
5 which either present difficulties in teaching the student, or facilitate teaching.
For example, a student who has a hearing impairment may require special lessons,
as compared with a student having hearing abilities within the norm of a standard
population. As another example, a student who has a photographic memory may find that
learning the vocabulary of a foreign language is an extremely simple task.
10 The PROFILES, in general, facilitate the lA's matching of the students* needs with
the RESOURCES which are suited to those needs. The PROFILES contain information such
as that described above, plus additional information required, to accomplish this goal.
RESOURCES
In general, RESOURCES include all materials made available by CLS. In the
15 context of education, RESOURCES include a significant number of Error! Bookmark not
defined.computer programs which teach. There are numerous types of such programs, and
hundreds, and perhaps thousands, are commercially available today.
Intelligent Administrator
The Intelligent Administrator (lA) is a system of Error! Bookmark not
20 defined.computer programs, which can operate alone, or in conjunction with an SME or
other consultant. The lA does the following:
L Based on PROFILES, the lA assesses a student's current standing within a Error!
Bookmark not defined.curriculum, and determines the skills required for the student's
present advancement.
25 For example, the lA may determine that a given student stands at the beginning of
the junior year in high school, and that the student has successfully completed 12 of 60
lessons in analytic geometry. Based on this assessment, the lA decides that lesson number
13 should be given next.
2. The lA locates the RESOURCES necessary for the required lessons. In this
30 example, the lA would locate lesson 13, identified above. Lesson 13 will probably reside in
the local school district's REPOSITORY, but, because of the capabilities of CLS, lesson 13
can reside anywhere within the overall CLS system.
Since multiple teaching strategies are available, and are used if the first-chosen
strategy does not produce results, the 1 A locates the multiple RESOURCES which represent
35 the multiple strategies. (In the general case, these RESOURCES will not be located in the
same REPOSITORY, although they can be.)
3. The lA assesses whether the RESOURCES are successfully imparting the
knowledge desired to the students. This assessment can be done by using known,
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Standardized testing approaches, given by Error! Bookmark not defined. computer.
Additional Considerations and Characterizations
1 . Different presentation of a given lesson was discussed above. In the section
entitled "Teaching Strategies Generally," located below, references are discussed which
elaborate on the concept of different learning behavior of different students. These
references provide the general principles of creating different presentations.
A more rote-minded approach would be based on the fact that different teachers
themselves probably make different presentations of a given topic. Therefore, one approach
to generating the different presentations is to assign a number of teachers, say ten, the task
of each writing a lesson explaining a topic. The ten different lessons will provide ten
different presentations for the collection of presentations.
2. The invention measures the rate of learning of the student, and prompt the
student to end a lesson when the rate is seen to significantly falter. For example, suppose
that a student is studying a subject which is memorization-intensive, such as biology. The
lessons can be arranged such that learning is presented in groups of twenty concepts. After
each group of twenty is presented, an assessment of the student is done.
The lA logs the time required by the student to learn each group. When the time
falls below the best time by a predetermined amount, say thirty percent, the lA attempts a
different teaching strategy. If that fails, after a predetermined number of attempts, then the
lA patches the student into a Subject Matter Expert.
3. One form of the invention includes the following components:
a) CLS.
b) The educational programs, including the different presentations of a given
subject, which are commercially available, or can be developed based on
known principles.
c) PROFILES, which are developed according to the teachings of this
Specification.
d) The INTELLIGENT ADMINISTRATOR, which primarily
i) selects different teaching strategies, based on
A) profile of student and
B) success of previous lessons.
The details concerning implementation of the INTELLIGENT
ADMINISTRATOR are known, given the mission of the lA as described
herein.
The SUBJECT MATTER EXPERTS.
4. The video conferencing feature of CLS allows a SUBJECT MATTER EXPERT
to teach small groups of students, and the students to confer with each other. As an
example, after students in an ordinary school take an examination, many of them congregate
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and compare opinions on the exam. Under the invention, similar behavior is possible, but
by way of video conferencing.
5. The distributed aspect of learning is important. A student can undertake learning
at any location, provided a Communicator is available to link with CLS, or an equivalent.
5 For example, a newly hired business person must learn certain internal procedures
followed within the hiring organization, such as filling out expense account forms. It is
known in the art how to write a program which explains how to fill out such a form. (In a
highly simplistic sense, the program can merely repeat the text of written instructions which
undoubtedly have been written.)
10 This instructional program is made available via CLS. The business person can now
learn how to fill out the expense "form," using a Communicator, such as a PC and a modem,
at any desired location, such as in a waiting lounge at an airport. Then, having mastered the
procedure, the person can fill out needed "forms" at any location whatsoever, provided a
link to CLS, or to an equivalent, is available.
15 6. Two learning styles are discussed herein, namely, "holistic" and "linear." There
exist other distinctions in approaches to explaining subject matter to a student. Three
examples are the following.
A. Some students prefer to read material; others prefer to hear an explanation of
material spoken by a teacher.
20 B. Some students prefer to have material presented in a verbal format, either in
writing (which is read) or in speech (which is heard). Other students prefer to have material
presented in graphical format. A good example of this distinction is found in Gray's
Anatomy. Two versions exist: there is a version which is primarily textual, and contains
few pictures. There is another version which is primarily graphical, and is replete with
25 pictures.
C. When technique is being taught, some students prefer to see a demonstration;
others prefer to hear a description of the principles of that demonstration.
Profiles and Learning Strategies
One approach to Developing a Learning Profile
30 The invention obtains necessary data from the student, such as name, age, and
previous learning completed in school. This information allows the AI to place the student
in the proper grade.
The invention then ascertains the student's preferred learning style through an entry
adventure. (Different adventures will be given to students of different age, so the age, or
35 last grade completed, will influence the choice of entry adventure presented to the student.)
Each student can take a new entry adventure every year, to ascertain whether the
learning characteristics have changed. Also, since girls and boys differ in their intellectual
and social development, and since the entry adventure should catch their interest and create
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enthusiasm for the coming year's studies, different versions will be used for boys and girls.
In this adventure students solve a problem, or pursue an adventure. The choices
made indicate their comprehension speed and favored style of learning.
Learning Speed
5 The student's learning speed can be measured by how long it takes a student to
solve a given problem, or to perform an assigned task. Several problems will be embedded
in the adventure; the problems will provide information and then require the student to
apply it in situations which require different levels of complexity and integration. The
invention can tally the total time elapsed for the student to solve the problems, and compare
10 the total to the norm for that grade in the student's school district or region. (This learning
speed measure is different from IQ measurement; research has shown that even above-
average students differ in their learning speed.)
Physiology Can Correlate with Learning Speed
There has been some research pioneered by W. C. Sheldon at Harvard in the 1930's
15 and 40's, on the correlation between body type and learning characteristics. (Smith, 1949,
pp. 3 10-320). Sheldon delineated three body types, based on the embryonic source of
tissue: ectomorph (tall and skinny), mesomorph (compact and muscular) and endomorph
(large and or overweight).
More recently, Chopra has pointed out that a particular traditional medical system,
20 of interest to him, also defines three basic physiological types in a manner similar to
Sheldon's. (Chopra 1990, pp. 33-41).
According to Chopra, some students (endomorphs) learn slowly but retain
knowledge quite well, and others who learn quickly tend to forget just as quickly
(ectomorphs).
25 Therefore, physical examination of students may provide data indicative of learning
characteristics. Further, the invention can be used to validate, or derive, correlations
between measured physiological parameters and learning behavior. When correlations are
found, the identification of learning characteristics can be made based on the physiological
parameters, which are presumably easier to ascertain.
30 For example, a standard set of physiological parameters of students are measured
and placed into the PROFILES. Known medical and public health techniques list these
standard parameters. Then, over time, the INTELLIGENT ADMINISTRATOR looks for
correlations between learning speed, preferred learning style, etc., and the parameters.
Known statistical techniques provide the correlation.
35 When correlations are found, then the measured physical parameters are used to
indicate the learning characteristics of subsequent students, rather than testing for the
characteristics themselves.
Preferred Style of Learning
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There is much written in educational psychology about learning styles, usually
referred to as "cognitive styles." Cognitive style, or learning style, refers to the way in
which a student prefers to organize his or her thought processes — his or her preferred mode
of thinking. There are a few different approaches which could be used, but by far the largest
5 body of research shows that learning style preferences usually fall into one of two groups,
stereotyped as artistic or scientific thinking.
Hunter Breland, a research psychologist for the U.S. national Educational Testing
Service, asserts that "the most widely examined" cognitive style is the continuum of field
dependence/independence (Breland, 1981, p. 38). The basic difference between field
10 dependent and field independent problem-solver is that the former tend to depend on cues
fi-om the environment to solve the problem, and the latter tend to rely more on internal cues.
He quotes a study by Witkin et al. (1977) which indicates that field-independent college
students tend to major in the sciences while the more field-dependent students gravitate
toward majors in education (p. 38).
15 Entwistle (1981) writes about Pask's research categorizing students as 'Tiolist" or
"serialist." The holist learning style, called comprehension learning, involves "building
descriptions of what is known." The serialist style is called operation learning, "the facet of
the learning process concerned with mastering procedural details." (p. 93)
When Pask assigned students to either a matched or mismatched learning situation,
20 the results were notable: the matched students were able to answer most of the questions
regarding the lesson, while the mismatched students generally scored less than 50% correct.
Entwistle's conclusion is that although teachers will never provide as extreme an example of
mismatching, there is evidence in primary education to support the fact that different
teaching methods are effective to different degrees for students with different personality
25 characteristics.
There has been other research indicating that students differ in their preference of
inductive or deductive reasoning. Another area of research has been whether students prefer
to use what are commonly considered "right brain" skills (creativity, association, imagery,
analogies, spatial relationships, feelings) or "left brain" skills (logic, sequence,
30 organization, structure, procedure).
All of these approaches have the same theme: the basic question is whether a
student prefers to use logical, procedural, linear thought processes or holistic creative
(associative), spatial processes. Most authors point out that many learners are flexible and
can move relatively easily between the two cognitive styles. And, as most every author
35 points out, everyone must use both approaches at different stages in the solution of a
problem, and the ideal is to be able to function well in both (e.g., an architect must think
creatively to plan a house, but then he must also know clearly the sequence of building, or
the house will not materialize).
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This computer program can assess whether one of these learning styles is preferred
on the basis of choices made in the context of the entry adventure. If a student is reasonably
comfortable with both, then he or she will be branched into the standard curriculum, which
is a mix of both styles. If, however, a student displays a dear preference for one style,
5 he/she will be branched into a curriculum which favors explanations and examples in that
style.
Delivering the Content and Mastery of the Material
The curriculum must also be structured from sound learning principles. There are a
few different schemes for classifying the necessary conditions for learning but Gagne's
10 learning outcomes and conditions of learning are the most thoroughly developed and
therefore the most useful in developing computer-based instruction.
Gagne classified all possible learning outcomes into five performance categories:
intellectual skills, cognitive strategies, verbal information, motor skills, and attitudes.
Examples of these, along with their subcategories, are shown in Table 3.1, below, taken
15 from Gagne's Essentials of Learning for Instruction (1975, p. 68). These are useful for
design purposes in that they describe capabilities which apply across all subject matter
areas. According to Gagne, certain conditions are necessary for learning each of these types
of outcomes. Some conditions are "internal" and some are "external."
The internal conditions define prerequisite knowledge or skills, and external
20 conditions define certain aspects of the instruction; the invention should be concerned with
both. The following descriptions of internal and external conditions required are derived
from Gagne's The Conditions of Learning (1977, pp. 25-49),
For the learning of intellectual skills, the primary internal condition is that the
student have prerequisite skills which provide the components of the new skill being
25 learned. External conditions are often in the form of verbal directions which guide the
combination of simpler skills into a new integrated whole.
In terms of verbal information, internal requirements are that the learner have a
good mastery of linguistic rules and vocabulary in order to understand statements presented,
and he or she must also have previously existing "cognitive structures" (p. 40), or structures
30 of meaningfully organized information which will give meaning and context to the new
material presented.
One external condition is stimulation of the appropriate cognitive structure (usually
in the form of an advance organizer). Another is informing the learner of the objective of
the learning; this focuses the learner's attention. A third may be repeated hearing or reading
35 of an informational passage; most modem theories concur that more information is
assimilated with each repetition (p. 40).
Cognitive strategies refer to how the learner organizes his or her own thought
processes (attention, learning, remembering, thinking). The internal conditions required are
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memory of intellectual skills and verbal information previously learned which relate to the
new task presented. The most effective external condition is evidently frequent
opportunities to practice strategizing. According to Gagne, practice refines and improves
the strategies.
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TABLE 3.1
Five Major Categories of Human Capabilities,Representing the Outcomes of
Learning with Examples of Each Example of Human Performance Made Learning Outcome
Possible by the Capability
Verbal Information
Stating the provisions of the First Amendment to the U.S.
Constitution
Intellectual Skill
Showing how to do the following:
Discrimination
Distinguishing printed b*s from d*s
Concrete Concept
Identifying the spatial relation "be low
Defined Concept
Classifying a "city" by using a definition
Rule
Demonstrating that water changes state at 100 C.
Higher-order Rule
Generating a rule for predicting rainfall, given conditions of
location and terrain
Cognitive Strategy
Originating a novel plan for disposing of fallen leaves
Attitude
Choosing swimming as a preferred exercise
Motor Skill
Executing the performance of planing the edge of a board
The learning of motor skills (e.g., courses in drafting, carpentry, etc. in the
curriculum) requires the student to master in overall sequence and pattern of movements.
Especially in the case of a complicated procedure (e.g., constructing a chair) sometimes the
sequence must be learned in parts, which are then put together. The main external condition
required is repeated practice, which makes performance more and more smooth and
predictable.
Attitudes are expressed behaviorally; therefore one internal condition for learning
new attitudes is that the learner must have mastered whatever skills or knowledge the
behavior requires (e.g., knowledge of the rules in order to enjoy playing chess, etc.)
Another internal condition is that the learner must have admiration and respect for people
who are seen doing the behavior; this is called "human modelling" (p. 46.) The only
external conditions which seem to be effective are that either the learner himself or a human
model experiences the effects of an action as "good" or "bad."
A summary of the external conditions which facilitate learning is shown in Table
4.2, from Essentials of Learning for Instruction (Gagne, 1975, p. 93). One way the
invention will ensure mastery will be that the entire curriculum will be designed in
accordance with these sound and widely accepted learning conditions of Gagne.
The invention has two ways to help a student who demonstrates through his or her
score that internal conditions of learning are deficient (e.g., prerequisite skills or knowledge
are lacking). The first is that a HELP screen is always available at the student's request. To
avoid boredom or frustration, a student will be able to access a HELP screen at any point
during an instructional unit. This first level HELP screen will allow the student to:
change skill levels (learning speeds)
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change learning styles
request another explanation
request review of any previous material
request a conference with a teacher
5 Depending on the option chosen, the invention will then adjust a student's learning
speed up or down, give another explanation and examples (one in the same learning style
and one in a different learning style), review specific sections in the unit (or all previous
information in the unit), or connect the student to a live video teleconference with a teacher.
Access to this HELP screen is optional, and a student may choose it once, several times, or
10 not at all during a unit of instruction.
TABLE 4.2
A Summary of External Conditions Which Can Critically Influence the Processes of
Learning Class of Learning Objective Critical Learning Conditions
Verbal Information 1 . Activating attention by variations in print or speech
2. Presenting a meaningful context (including imagery) for
effective coding
Intellectual Skill 1 . Stimulating the retrieval of previously learned component
skills
2. Presenting verbal cues to the ordering of the combination of
component skills
3. Scheduling occasions for spaced reviews
4. Using a variety of contexts to promote transfer
Cognitive Strategy 1 . Verbal description of strategy.
2. Providing a frequent variety of occasions for the exercise of
strategies, by posing novel problems to be solved.
Attitude 1 . Reminding learner of success experiences following choice-
of particular action; alternatively, insuring identification with
an admired "human model"
2. Performing the chosen action; or observing its performance
by the human model
3. Giving feedback for successful performance; or observing
feedback in the human model
Motor Skill 1 . Presenting verbal or other guidance to cue the learning of
the executive subroutine
2. Arranging repeated practice
3. Furnishing feedback with immediacy and accuracy
15
Students who score average or above average will be able to:
go to the next unit
change subjects
Request a live conference with teacher
20 Log off for now.
The conference option with SUBJECT MATTER EXPERTS makes it possible for
a student who has mastered the unit but who is curious about tangential or deeper levels of
the material to ask questions while his or her interest is still fresh. If a teacher needs to
research the answer, the student could find the answer on the system at log on the next day,
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or CLS can page the student with a notice of the answer's availability.
A student who scores below average on the unit would automatically be given a
diagnostic check. This is the second way in which the system can assess lack of prerequisite
skills, as well as other problems. The diagnostic check will be in the form of a question
5 (Did you use the HELP screen during the unit?) and a menu for the student to choose from:
Too easy
Too hard
Not straightforward enough (linear-biased learners will tend to think this about a
curriculum that is too holistic)
10 Explanations seem incomplete (holistic-biased learners will tend to think this about
a curriculum that is too linear).
Other
(Re-wording may be necessary for younger learners, but the idea will be the same.)
The computer system will automatically process the diagnostic results and adjust
15 the Error! Bookmark not defined.curriculum accordingly. If the student requests, or
checks "Other" he/she will be connected with a teacher for a live teleconference. After this
diagnostic step, the student will then be given a menu screen with the choices:
further study
change subjects
20 log off
If the student chooses to either change subjects or log off, the computer will
automatically place him at the beginning of customized remediation for this unit the next
time this subject is requested. If the student chooses further study, he will begin the
customized remedial content for the unit. This will include new explanations, examples,
25 and practice situations.
When the remedial unit is complete, the score is displayed, and the above loop is
repeated. If the student's score is still below average, he should automatically be connected
with a teacher for a conference.
The teachers who work with this system will need to have Teachers* Guides
30 containing all the content and resources in the system; there will be one of these for each
grade level. They will need to know these well so that they can give assignments within the
system to cover different problems that may arise.
The invention can be designed to provide many options, and the student's
preferences can lead him through the curriculum to some extent; but the teachers' role will
35 be critical in guiding the student through any rough spots, and being sure that the entire
year's Error! Bookmark not defined, curriculum is completed on time.
Evaluation and revision must be built into the implementation of the system,
especially for the first two years of use. Both the student and teacher should evaluate each
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unit of instruction as it is completed. The student could have a very short on-screen
questionnaire immediately after the unit score is displayed, and the teacher could have the
option of recording any comments about the content or design of the unit in the light of that
student's experience.
5 Sample Lesson
Johnny, age 10, logs on to the system for the first time. The screen asks him to type
his name, age, and assesses Johnnys last grade completed in school, which in this case was
fourth grade.
The Error! Bookmark not defined.computer automatically branches Johnny into
10 the fifth grade entry adventure for boys — the world of ancient Welsh legends, brought to
life again through a time warp caused by the bizarre collision of incompatible
electromagnetic fields on the exact spot where the Lord of Death was vanquished centuries
ago. Death and his forces are abroad again, causing terrible damage. The challenge is to
find him and trap him into returning to this spot, where the quantum mechanical laws of
15 nature are normally strong enough to hold him fast.
To help Johnny solve this challenge, two guides provide assistance: one explains
things using analogies and associations, and the other uses logical, linear, no-frills
explanations. Johnny is frequently asked which of these guides he wants to ask for advice;
in this way, the system can determine whether Johnny has a preferred learning style.
20 Johnny is given information of varying complexity at different points in the
adventure. He is then asked to apply it in a number of situations. The Error! Bookmark
not defined.computer tracks how many choices it takes Johnny to solve the problem, and
compares this number to the norm. Assume that Johnny falls into the lower range.
Having finished the entry adventure, CLS identifies Unit 1 of the science Error!
25 Bookmark not defined.curriculum. He first sees a short video clip of the science teacher,
who introduces himself, explains how the unit is structured, and reminds Johnny that the
HELP screen is available at any time, and that Johnny call talk with him in person by
choosing that option. Then Johnny begins Unit 1 .
The testing indicated that Johnny is a slower learner who is more comfortable with
30 a holistic learning style, so he is branched into the holistic-dominant Error! Bookmark
not defined.curriculum at the slower learning speed. First he sees and hears the story which
acts as the advance organizer for the year's science study: there is a benevolent
extraterrestrial messenger who has been given one year to convince his superiors that the
earth should be spared from destruction.
35 Johnnys lessons examine selected features of the earth. At the end of each lesson,
Johnny must provide information to the messenger which indicates whether the features
studied have value, and should be preserved, so that the messenger can relay the
information. The learning objectives for the year will be listed in this context. Then Johnny
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will see the tasks (learning objectives) that he must master for Unit 1 on Geology.
The learning outcomes expected in Unit 1 also verbal information, intellectual
skills (all levels) and cognitive strategies. Gagne's critical learning conditions (e.g.,
presenting important ideas in context or building in occasional review^s of w^hat has been
5 learned) from Table 4.2 provide the structure for the stories, games, and adventures which
comprise the unit of instruction.
Johnny works along in this highly — but transparently structured — learning
environment until he doesn't understand something. At that point, he remembers that he can
use the HELP screen. He chooses the HELP screen and indicates that he wants a further
10 explanation. He is given two more explanations (one in each learning style) with examples
and two practice questions at the end. His answer indicate that he understands, and he is
branched back into the unit.
Later in the unit, he isn't sure that he understands something and he chooses
"practice questions" under HELP L Still confused after those he asks for further
15 explanation, which still doesn't clear up the problem. He is automatically branched into a
live teleconference with the teacher, who sets him back on track, and tells Johnny how he
can get more information on the subject if he wants, but tells him that now he can also go
on if he prefers.
Johnny continues work in the unit until he has another question; he calls up the
20 HELP screen and selects "further explanation." This time he understands well enough after
the explanations to answer the two practice questions correctly, and he is then branched
back into the unit.
Johnny finishes the unit with a test of his mastery of the learning objectives for the
unit. Rather than calling it a test, the system presents it as his report for the extraterrestrial;
25 it includes geological reasons why the earth, and the study of its geology, is important.
Johnny finishes the unit with an average score. He is asked to answer three short
questions ("What did you like best about this unit?" "What did you like least . . . ?" "Any
ideas for making it better?") regarding the appeal and effectiveness of the unit. Then he is
given the options of going on to the next unit, changing subjects, talking with the teacher, or
30 logging off.
CURRICULUM GENERATION AND MARKETING COLLATERAL
□Provides a review of standard course descriptions and objectives
□Provides ability to review and define a custom curriculum
□Offers a course catalog with descriptions of course-ware and curriculum
35 planners
□Provides previews of training courses
□Allows dovsmload of educational collateral
The education related services component of the present invention generates a
curriculum of course offerings in operation 2500. A review of standard course descriptions
40 and objectives is provided. Also provided is the ability to customize the curriculum.
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Course information and dates are described in a course catalog, which is displayed or made
available for download. The course catalog may also describe course— ware and suggest
curriculum. Also available for download is educational collateral. Optionally, previews of
training courses may provided for example as promotional material or to help a user prepare
5 for the first class.
One embodiment of the present invention is provided for automatically generating a
student educational curriculum. See Figure 25A. First, in operation 2510, educational
program offerings are displayed, which a student is allowed to review. Next, in operation
2511, the student is prompted to define his current expertise by completing a student profile
10 (user indicia), which is received by the invention in operation 2512 and used to generate a
user profile in operation 2513. Referring to Figure 25B, for example, the student profile
may define a current expertise. The education curriculum would be generated based on the
current expertise in operation 2520. Then, the student defines his training goal, such as a
specific certification or degree (additional user indicia), which is received in operation
15 2521. Or the training goal may be taken from the student profile in operation 2522. The
education curriculum is generated to fulfill the training goal in operation 2523. The
student's progress is monitored and revised educational curriculums are produced, when
necessary, in operation 2524 based on the monitored progress. Finally, an education
curriculum based on the user profile is generated in operation 2514 of Figure 25A.
20 The student may also opt to follow the original educational curriculum or the
revised curriculum. Incentives and disincentives may be utilized to influence the student's
curriculum choices.
REGISTER FOR TRAINING AND ORDER TRAINING
□Provides an interactive interface to register for all offerings
25 Dlntegrates with commerce fiinctions to provide order placement and
transaction processing (e.g. Takes orders online by credit card)
□Allows users to register for third party training
□Allows users to register for online training
□Supports multiple payment options
30 □Integrates with third party systems
Users may order and register for any educational offering on an interactive
interface through operation 2502 of Figure 25. Examples of offerings may include third
party training and online training. The interactive interface may be integrated with the
commerce component to permit transactional processing when placing an order. For
35 example, a user may sign up for an offered course and pay the tuition by credit card.
Alternatively, the commerce component could create a payment schedule which requires
that payments be made periodically. Optionally, the registration and ordering components
are able to integrate with third party service providers' systems.
ONLINE TRAINING
40 □Courses can be deployed over a variety of environments (e.g. LANs, WANs,
intranets, internet, etc.)
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□Offers tests over individual courses as well as entire curriculum
□Offers courses that can be taken live, directly from the web server or
downloaded to learner's workstation
□Provides ability for administrators to post bulletins announcing new course-
5 ware
The education related services component of the present invention educates users
over a network such as a LAN, WAN, an intranet, the internet, etc. Note operation 2504 of
Figure 25. Courses may be taken live, directly from a server, or downloaded to the
workstation of a user. Bulletins relating to the courses could be posted on electronic
10 bulleting boards or electronically mailed to individual students. Tests may also be offered
over individual courses as well as entire curriculum.
TRAINING ACCOUNT STATUS
□Provides ability to check progress in individual courses or entire curriculum
□Provides ability to match their completed courses against vendor certification
15 program requirements
□Provides ability for administrators to track training library usage
□Provides ability to send in status reports to administrators via various media
□Integrates with third party training centers to update training status
The status of the education of the user may be checked at any time in operation
20 2506, including checking progress in individual courses or the entire curriculum. A user is
also able to match completed courses to certification program requirements. Administrators
are permitted to track training library usage as well as receive status reports of individual
students or all students in a course. Optionally, the education related services component of
the present invention integrates with third party training centers to update the training status
25 of a user, particularly useful for users who wish to take courses of another program.
CUSTOMER-RELATED WEB APPLICATION SERVICES
Referring to component 1412 of Figure 14, one embodiment of the present
invention is provided for affording a combination of customer-related web application
services to support a product. More detail is provided in Figure 26. In operation 2600, a
30 user is allowed to register the product. Further, on-line support information is provided
about the product. Such support information is provided based on queries. Note operation
2602. As an option, this information may also be afforded by way of a specially managed
call center. In addition, in operation 2604, claims may be handled relating to the product.
During operation 2606, the users are automatically notified of upgrades and/or problems
35 relating to the product. Consulting services may also be made available.
PRODUCT REGISTRATION
□Allows customers to register products online
□Automatically sends users confirmation of registration
□Notifies users of upgrades or other product-related information
40 □Maintains database on user's purchases to create profiles
Operation 2600 of the web customer service component of the present invention
allows the registration of a product, preferably online. Upon registration of a product,
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confirmation that the registration has been received is automatically sent to the user, such as
by email. Notices of upgrades, promotions, and other product-related information is sent to
registered users, A database stores the purchases of each user to create profiles, which may
be used statistically for marketing purposes.
5 WEB BASED SELF-SUPPORT/KNOWLEDGE SEARCH/DIAGNOSTICS
SEARCH
□Accepts queries in natural language format
□Responds with additional questions to facilitate issue resolution
□Provides solutions over several mediums (e.g. links to web pages, graphics,
10 illustrations, software updates, etc.)
□Offers an online technical library for quick troubleshooting
□Provides downloads of software fixes/updates
□Refers users to create service cases for unresolved issues
Referring to operation 2602 of Figure 26, support information on a product may be
15 searched for based on queries input by a user. Queries may be accepted in natural language
format as well as by keyword. The support component may respond with additional
questions relating to the matter at hand in an effort to better identify the problem. Solutions
may be provided over several mediums, including links to web pages, graphics,
illustrations, animations, downloadable software updates and fixes, etc. Also provided may
20 be an online technical library with answers to common questions for quick troubleshooting.
For unresolved issues, the user may be asked to create a service case which will be followed
up on later by a technician.
In a traditional case, where goods are introduced to a customer in a traditional way,
that is, through a catalog sent via traditional mail (not electronic mail) and so forth, or
25 through other media, without using an online communication system, If the customer has a
question about the introduced goods, the customer may directly call a company or the like
which handles the goods and inquire thereof about the goods. In such a case, the customer
tells the company the trade names, article identification numbers, and so forth, of the goods.
Then, the customer may obtain an answer as to how to use the goods, a payment method
30 when buying the goods, and so forth, from a person in the customer service division in the
company.
However, in an online mail-order case, goods information is transmitted to a
customer from the center (the sales company) via the online communication system. In
response thereto, the customer may make an order for an article and transmit this
35 information to the center via the online communication system. Therefore, in such a case, it
is not possible to perform direct conversation between the customer and the center (the
sales company). A database has been considered for explaining goods and answering
possible customer's questions. However, the contents of the customer's questions may vary
for each particular customer. Therefore, the database which can answer various possible
40 questions of the customer needs to have a very large amount of data and thus may be
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inefficient. Further, when assuming all possible customer's questions about the goods and
preparing answers thereto, it is not possible that customers actually ask all the assumed
possible questions. Therefore, a database may not be an efficient way to prepare all the
answers for all the assumed possible customer's questions.
5 The present invention has been developed in consideration of the above-described
problems. The present invention provides an answering method and system in online
shopping which enables, in an online communication system, easy production of data for
answering customer's questions and preparation of answers to general questions. Further,
the answering method and system, in online shopping, enables, in a case where complete
10 answers could not be prepared for all the possible questions, an answer to be transmitted to
the customer when the answer has been prepared for a particular question given by the
customer via electronic mail.
According to a first aspect of the present invention, in online shopping in which a
mail-order business is conducted between a center and a terminal via an online
15 communication system, for answering a question of a customer, necessary but minimum
answers to questions are prepared in a database; the database is searched when the customer
asks a question A, and, when an answer A to the question A is present in the database,
transmits the answer A to the customer via the online communication system; an answer B
is prepared when an answer to the question A is not present in the database, and the answer
20 B is stored in the database; and the answer B is transmitted to the customer via electronic
mail.
According to a second aspect of the present invention, the question A is stored as
inquiring screen image information to be transmitted to customers, when an answer to the
question A is not present in the database.
25 According to a third aspect of the present invention, the customer is able to input
any other question when the customer wishes to ask a question other than predetermined
questions previously stored in an inquiring screen image information; any other question
asked by the customer is temporarily stored when receiving any other question; any other
question and an answer thereto are stored as a question and answer set, when the answer
30 thereto is prepared; and, at an any point of time, the database and the inquiring screen
image information are updated using the question and answer set.
According to a fourth aspect of the present invention, in online shopping in which a
mail-order business is performed between a center and a terminal via an online
communication system, for answering a question asked by a customer, there is provided an
35 answer database for previously storing necessary but minimum answers to questions;
question item determination means for receiving a question A from the customer and
determining whether or not the question A is included in predetermined question items;
search means for searching the answer database when the question item determination
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means has determined that the question A is included in the predetermined question items;
online transmission means for transmitting to the terminal, via an online communication
system, an answer A obtained by the search means; answer requesting means for requesting
an answer when the question item determination means has determined that the question A
is not included in the predetermined questions; updating means for updating the answer
database using an answer B after the answer B is obtained through the answer requesting
means; and electronic mail transmission means for transmitting the answer B to the terminal
via electronic mail after the answer B is obtained through the answer requesting means.
According to a fifth aspect of the present invention, the updating means includes
goods master file updating means for adding a question type code representing the question
A to at least one predetermined question type of a goods master file when the question A
has received the answer B. The goods master file stores the at least one predetermined
question type corresponding to a question item relevant to an article code of an article that
the customer selected.
According to a sixth aspect of the present invention, the updating means comprises
inquiring screen image information updating means for adding the question A to the
inquiring screen image information to be displayed to the customer, when the question A
has not been included in the inquiring screen image information yet.
According to a seventh aspect of the present invention, the electronic mail
transmission means transmits the answer B only to the terminal that asked the question A.
In the first and fourth aspects of the present invention, answers to all possible
questions are not prepared in the database. Only necessary but minimum answers for goods
which can be obtained in regular patterns are prepared in the database. Then, when the
customer gives a new question, an answer to which is not included in the database, an
answer is transmitted to the customer via electronic mail and also the answer is additionally
stored in the database. Thus, answers are automatically accumulated in the database. The
thus-accumulated answers can also be provided for other customers when receiving
questions from other customers. Further, because answers to all possible questions are not
prepared, it is possible to reduce manpower costs and also to reduce otherwise necessary
data storage capacity.
In the second and sixth aspects of the present invention, similar to the accumulation
of answers in the database, all expected question items are included in the inquiring screen
image information to be displayed to the customer. New question items that customers input
are automatically additionally included in the inquiring screen image information. Thus,
question items are automatically accumulated in the inquiring screen image information.
Similar to the above-described first and fourth aspects, it is possible to reduce manpower
costs and also to reduce otherwise necessary data storage capacity.
In the third aspect of the present invention, when the customer inputs a question
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item which has not been stored yet, the input question is stored in a predetermined file.
Then, after an answer to that question is obtained, the answer is stored together with the
question as a set. Thereby, it is possible to update the database and inquiring screen image
information at any point of time using the stored answer and question set. Therefore, it is
5 possible to perform the updating operation when periodically updating general information.
It is also possible to perform the updating operation immediately after the answer is
obtained. Thus, the updating operation is fi*ee from any time condition.
In the fifth aspect of the present invention, each inquiring screen image information
is provided for a respective article code stored in the goods master file. Further, a type code
10 is given in the goods master file for each question item. When a question is asked by the
customer and a type code of the given question item has not been stored in the goods master
file, a new type code is additionally stored in the goods master file similar to updating of
the database and inquiring screen image information. Thereby, it is possible to keep
consistency between the data stored in the goods master file, database and inquiring screen
15 image information. Thereby, it is possible to prevent the amount of data transfer between
the center and terminals from unnecessarily increasing.
In the seventh aspect of the present invention, when a customer asks a new
question, an answer that is prepared for the question afterward is then transmitted only to
that customer. That is, it is not necessary to transmit the answer to other customers because
20 the other customer do not need that answer. Thereby, it is possible to prevent the amount of
data transfer between the center and terminals from unnecessarily increasing.
Thus, according to the present invention, when an answer does not exist in the
database, the answer is obtained from sales staff, the obtained answer is sent only to a
customer who requested the answer, and a database and so forth are appropriately updated
25 using the obtained answer. Thereby, after the updating, other customers can obtain the same
answer by an easy regular question-item selection operation.
CREATE AND MANAGE SERVICE CASES/CONSULTATION FOLLOW UP
□Analyzes problem and routes to appropriate resources
□Facilitates consulting group follow-up
30 □Integrates with issue tracking tools (e.g. Vantive)
□Allows users to track status of a submitted service case
The web customer service component of the present invention provides for creating
and managing service cases and following up on those service cases. The problems set
forth in the service cases are analyzed and are routed to the appropriate resources.
35 Optionally, the service case component may integrate with issue tracking tools such as
Vantive to identify problem areas. Also a user may be allowed to track the status of a
submitted service case.
ONLINE SUPPORT
□Handles conversation-based telephone inquiries for automated customer
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support
□Provides intelligent call routing
□Offers "call-through" abilities from web link
□Provides real-time private chat sessions
5 nProvides real-time public chat sessions
□Provides ability for user to enter online questions
□Offers live agents to guide customer to solution
□Offers ability to send follow-up questions, Web pages, files, graphics to
customers
10 □Has ability to handle multiple customers simultaneously
Online support is provided by the web customer service component of the present
invention, and is designed to handle multiple users simultaneously. A knowledge base
would store support information. Conversation based telephone inquiries are handled for
automated support. For example, a user may verbally ask a question and voice recognition
15 software would choose an appropriate automated response based on recognized words in
the question of the user. Further, calls may be automatically routed to the appropriate
resource based on user input. Call-through capabilities from a web link may be offered.
A user may also enter online questions. Email would be a popular means of
entering online questions. Real time public and private chat sessions could also take place.
20 Live agents could be kept on hand to answer any questions that the automated responses did
not adequately respond to. Also, follow up questions, web pages, links, files, graphics,
animations, and the like could also be sent to users.
RETURNS AND WARRANTY CLAIMS
□Lists warranties
25 □Automatically checks user identity to validate user is registered
□Checks claim to see if it matches warranty criteria
□Request automatically routed to appropriate agent
The web customer service component of the present invention lists warranties for
view by a user in operation 2604 of Figure 26. When a user has a product that requires
30 service or return under the warranty, the identity of the user is checked to ensure that the
user has registered. The claim made by the user is then checked and compared to the
warranty to ensure that the claim meet warranty criteria for the requested service or
replacement. Once validated, the claim is routed to the appropriate agent.
The web customer service component of the present invention may also provide a
35 method and apparatus for handling complaints that allows complainants to lodge
anonymous complaints against subjects, informs the subjects of the complaints, permits the
subjects to respond to the complaints, encourages settlements of the complaints and holds
the parties to the complaints accountable for their conduct while attempting to resolve the
complaints.
40 The method of the present invention is preferably implemented with a programmed
central computer, a plurality of access terminals, and a communications network coupling
the central computer with the access terminals. The central computer is programmed to
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receive complaints and responses, store the complaints and responses in individual data
records, and negotiate settlements to the complaints by several means described in the
Detailed Description below. Once the disputes are resolved, the settlements or judgments
are stored along with their respective complaints and responses in the data records.
5 The central computer is also programmed to provide public access to the data
records to permit viewing of the corresponding complaints, responses, and settlements for
allowing other users to gauge the conduct of the subjects and to encourage the subjects to
respond to the complaints in a timely and satisfactory manner. Moreover, the central
computer is programmed to monitor and rate the conduct and performance of both the
10 complainants and the subjects during the course of the disputes. The ratings can be used to
affect the outcome of the disputes and for other purposes to hold the parties accountable for
their conduct during the attempted resolution of the disputes to encourage good conduct and
cooperation between the parties during the course of the disputes.
PROACTIVE SERVICE NOTIFICATION
15 □ Automatically notifies registered customers about needed and optional
upgrades
□Automatically notifies registered customers about possible bugs or problems
and suggested solutions
One embodiment of the present invention is provided for affording proactive
20 customer support. Registered users are automatically notified about necessary and optional
upgrades. See operation 2606 of Figure 26. Optionally, a description of the upgrade may
be included with the notification, along with recommendations about whether or not to
install the upgrade. Further, registered users are automatically notified of possible
problems or bugs and solutions are suggested, such as configuration changes or downloads.
25 Referring to Figure 26A, commercial offerings are displayed for a user to review in
operation 2610. The user is allowed to select from the commercial offerings in operation
2611. In operation 2612, the user is prompted to enter user indicia, which is received in
operation 2613. The sale is completed and the commercial offerings are delivered to the
user in operation 2614. The status of the commercial offerings are monitored utilizing the
30 user indicia in operation 2615. In operation 2616, the user is notified of the status of the
commercial offerings. The commercial offerings include at least one of products and
services
In use, a user enters the system by purchasing products and/or services through a
website. As part of the purchase transaction or product registration, the user defines the
35 products and services which the user currently possesses or purchases by completing a user
profile (user indicia). Incentives and disincentives may be used to influence the user indicia
that is entered. Then, the user defines his specific desires for support including: levels of
support, support channel, methods of use of the products and services and future purchasing
plans (additional user indicia), which are received in operation 2613. The products and
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services which the user identified and/or purchased are monitored through the internet and
other means in operation 2614. For example, search engines may scan provider websites
for updates and patches, reduced price offerings, etc. Further, a dedicated email address
corresponding to the user may be used when registering the product with the manufacturer,
5 thereby providing a central location to receive notices and promotional material. If an issue
with a product is found in operation 2615 such as a software bug, a factory recall or a
reduced price offering, then the user is notified utilizing his defined channel such as mail,
email, fax, telephone in operation 2616. If the user encounters an issue and requests
support, the support will be provided utilizing the user's preferred channel and at the
10 support level purchased by the user.
CONSULTING SERVICES, LITERATURE, AND PARTNER REFERRAL
□Lists literature for follow-up consulting
□Provides referrals to match customer-entered needs (internal or third party)
□Routes consulting leads to external systems
15 The web customer service component of the present invention lists literature for
follow-up consulting. Further, referrals are provided to match user-entered needs, whether
the referrals are internal or from a third party. Also, consulting leads are routed to external
systems.
SECURITY SERVICES
20 As shown in component 1414 of Figure 14, one embodiment of the present
invention is provided for affording a combination of security-related services. Various
features are included, such as permitting remote log in as well as restricting access to
various resources to authorized users only. As an option, permission may need to be
granted before certain activities are performed by a user or users.
25 Referring to Figure 27, operation 2700 allows browsei^based authentication with
user verification data. In operation 2702, access is granted to application and/or system
data based on the user verification data, which may be stored in a user's browser. Virtual
private networking is provided in operation 2704.
Rights and Control Information
30 In general, the present invention can be used to protect the rights of parties who
have:
(a) proprietary or confidentiality interests in electronic information. It can, for
example, help ensure that information is used only in authorized ways;
(b) financial interests resulting from the use of electronically distributed
35 information. It can help ensure that content providers will be paid for use of distributed
information; and
(c) interests in electronic credit and electronic currency storage, communication,
and/or use including electronic cash, banking, and purchasing.
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Protecting the rights of electronic community members involves a broad range of
technologies. WAF combines these technologies in a way that creates a "distributed"
electronic rights protection "environment." This environment secures and protects
transactions and other processes important for rights protection. WAF, for example,
5 provides the ability to prevent, or impede, interference with and/or observation of,
important rights related transactions and processes. WAF, in its preferred embodiment, uses
special purpose tamper resistant Secure Processing Units (SPUs) to help provide a high
level of security for WAF processes and information storage and communication.
The rights protection problems solved by the present invention are electronic
10 versions of basic societal issues. These issues include protecting property rights, protecting
privacy rights, properly compensating people and organizations for their work and risk,
protecting money and credit, and generally protecting the security of information. WAF
employs a system that uses a common set of processes to manage rights issues in an
efficient, trusted, and cost-effective way.
15 WAF can be used to protect the rights of parties who create electronic content such
as, for example: records, games, movies, newspapers, electronic books and reference
materials, personal electronic mail, and confidential records and communications. The
invention can also be used to protect the rights of parties who provide electronic products,
such as publishers and distributors; the rights of parties who provide electronic credit and
20 currency to pay for use of products, for example, credit clearinghouses and banks; the rights
to privacy of parties who use electronic content (such as consumers, business people,
governments); and the privacy rights of parties described by electronic information, such as
privacy rights related to information contained in a medical record, tax record, or personnel
record.
25 In general, the present invention can protect the rights of parties who have:
(a) commercial interests in electronically distributed information — the present
invention can help ensure, for example, that parties, will be paid for use of distributed
information in a manner consistent with their agreement;
(b) proprietary and/or confidentiality interests in electronic information — the
30 present invention can, for example, help ensure that data is used only in authorized ways;
(c) interests in electronic credit and electronic currency storage, communication,
and/or use — this can include electronic cash, banking, and purchasing; and
(d) interests in electronic information derived, at least in part, from use of other
electronic information.
35 WAF Functional Properties
WAF is a cost-effective and efficient rights protection solution that provides a
unified, consistent system for securing and managing transaction processing. WAF can:
(a) audit and analyze the use of content,
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(b) ensure that content is used only in authorized ways, and
(c) allow information regarding content usage to be used only in ways approved by
content users.
In addition, WAF:
5 (a) is very configurable, modifiable, and re-usable;
(b) supports a wide range of useful capabilities that may be combined in different
ways to accommodate most potential applications;
(c) operates on a wide variety of electronic appliances ranging from hand-held
inexpensive devices to large mainframe computers;
10 (d) is able to ensure the various rights of a number of different parties, and a
number of different rights protection schemes, simultaneously;
(e) is able to preserve the rights of parties through a series of transactions that may
occur at different times and different locations;
f) is able to flexibly accommodate different ways of securely delivering information
15 and reporting usage; and
(g) provides for electronic analogues to "real" money and credit, including
anonymous electronic cash, to pay for products and services and to support personal
(including home) banking and other financial activities.
WAF economically and efficiently fulfills the rights protection needs of electronic
20 community members. Users of WAF will not require additional rights protection systems
for different information highway products and rights problems — nor will they be required
to install and learn a new system for each new information highway application.
WAF provides a unified solution that allows all content creators, providers, and
users to employ the same electronic rights protection solution. Under authorized
25 circumstances, the participants can freely exchange content and associated content control
sets. This means that a user of WAF may, if allowed, use the same electronic system to
work with different kinds of content having different sets of content control information.
The content and control information supplied by one group can be used by people who
normally use content and control information supplied by a different group. WAF can allow
30 content to be exchanged "universally" and users of an implementation of the present
invention can interact electronically without fear of incompatibilities in content control,
violation of rights, or the need to get, install, or learn a new content control system.
The WAF securely administers transactions that specify protection of rights. It can
protect electronic rights including, for example:
35 (a) the property rights of authors of electronic content,
(b) the commercial rights of distributors of content,
(c) the rights of any parties who facilitated the distribution of content,
(d) the privacy rights of users of content,
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(e) the privacy rights of parties portrayed by stored and/or distributed content, and
(f) any other rights regarding enforcement of electronic agreements
WAF can enable a very broad variety of electronically enforced commercial and
societal agreements. These agreements can include electronically implemented contracts,
5 licenses, laws, regulations, and tax collection.
Contrast With Traditional Solutions
Traditional content control mechanisms often require users to purchase more
electronic information than the user needs or desires. For example, infrequent users of
shrink-wrapped software are required to purchase a program at the same price as frequent
10 users, even though they may receive much less value from their less frequent use.
Traditional systems do not scale cost according to the extent or character of usage and
traditional systems can not attract potential customers who find that a fixed price is too
high. Systems using traditional mechanisms are also not normally particularly secure. For
example, shrink-wrapping does not prevent the constant illegal pirating of software once
15 removed from either its physical or electronic package.
Traditional electronic information rights protection systems are often inflexible and
inefficient and may cause a content provider to choose costly distribution channels that
increase a product's price. In general these mechanisms restrict product pricing,
configuration, and marketing flexibility. These compromises are the result of techniques for
20 controlling information which cannot accommodate both different content models and
content models which reflect the many, varied requirements, such as content delivery
strategies, of the model participants. This can limit a provider's ability to deliver sufficient
overall value to justify a given product's cost in the eyes of many potential users. WAF
allows content providers and distributors to create applications and distribution networks
25 that reflect content providers' and users' preferred business models. It ofTers users a
uniquely cost effective and feature rich system that supports the ways providers want to
distribute information and the ways users want to use such information. WAF supports
content control models that ensure rights and allow content delivery strategies to be shaped
for maximum commercial results.
30 Chain of Handling and Control
WAF can protect a collection of rights belonging to various parties having in rights
in, or to, electronic information. This information may be at one location or dispersed
across (and/or moving between) multiple locations. The information may pass through a
"chain" of distributors and a "chain" of users. Usage information may also be reported
35 through one or more "chains" of parties. In general, WAF enables parties that (a) have
rights in electronic information, and/or (b) act as direct or indirect agents for parties who
have rights in electronic information, to ensure that the moving, accessing, modifying, or
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otherwise using of information can be securely controlled by rules regarding how, when,
where, and by whom such activities can be performed.
WAF Applications and Software
WAF is a secure system for regulating electronic conduct and commerce.
5 Regulation is ensured by control information put in place by one or more parties. These
parties may include content providers, electronic hardware manufacturers, financial service
providers, or electronic "infrastructure" companies such as cable or telecommunications
companies. The control information implements "Rights Applications." Rights applications
"run on" the "base software" of the preferred embodiment. This base software serves as a
10 secure, flexible, general purpose foundation that can accommodate many different rights
applications, that is, many different business models and their respective participant
requirements.
A rights application under WAF is made up of special purpose pieces, each of
which can correspond to one or more basic electronic processes needed for a rights
15 protection environment. These processes can be combined together like building blocks to
create electronic agreements that can protect the rights, and may enforce fiilfillment of the
obligations, of electronic information users and providers. One or more providers of
electronic information can easily combine selected building blocks to create a rights
application that is unique to a specific content distribution model. A group of these pieces
20 can represent the capabilities needed to fiilfill the agreement(s) between users and
providers. These pieces accommodate many requirements of electronic commerce
including:
the distribution of permissions to use electronic information;
the persistence of the control information and sets of control information managing
25 these permissions;
configurable control set information that can be selected by users for use with such
information;
data security and usage auditing of electronic information; and
a secure system for currency, compensation and debit management.
30 For electronic commerce, a rights application, under the preferred embodiment of
the present invention, can provide electronic enforcement of the business agreements
between all participants. Since different groups of components can be put together for
different applications, the present invention can provide electronic control information for a
wide variety of different products and markets. This means the present invention can
35 provide a "unified," efficient, secure, and cost-effective system for electronic commerce
and data security. This allows WAF to serve as a single standard for electronic rights
protection, data security, and electronic currency and banking.
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In a WAF, the separation between a rights application and its foundation permits
the efficient selection of sets of control information that are appropriate for each of many
different types of applications and uses. These control sets can reflect both rights of
electronic community members, as well as obligations (such as providing a history of one's
use of a product or paying taxes on one's electronic purchases) WAF flexibility allows its
users to electronically implement and enforce common social and commercial ethics and
practices. By providing a unified control system, the present invention supports a vast range
of possible transaction related interests and concerns of individuals, communities,
businesses, and governments. Due to its open design, WAF allows (normally under securely
controlled circumstances) applications using technology independently created by users to
be "added" to the system and used in conjunction with the foundation of the invention. In
sum, WAF provides a system that can fairly reflect and enforce agreements among parties.
It is a broad ranging and systematic solution that answers the pressing need for a secure,
cost-effective, and fair electronic environment.
WAF prevents many forms of unauthorized use of electronic information, by
controlling and auditing (and other administration of use) electronically stored and/or
disseminated information. This includes, for example, commercially distributed content,
electronic currency, electronic credit, business transactions (such as EDI), confidential
communications, and the like. WAF can further be used to enable commercially provided
electronic content to be made available to users in user defined portions, rather than
constraining the user to use portions of content that were "predetermined" by a content
creator and/or other provider for billing purposes.
WAF, for example, can employ:
(1) Secure metering means for budgeting and/or auditing electronic content and/or
appliance usage;
(2) Secure flexible means for enabling compensation and/or billing rates for content
and/or appliance usage, including electronic credit and/or currency mechanisms for
payment means;
(3) Secure distributed database means for storing control and usage related
information (and employing validated compartmentalization and tagging schemes);
(4) Secure electronic appliance control means;
(5) A distributed, secure, "virtual black box" comprised of nodes located at every
user (including WAF content container creators, other content providers, client users, and
recipients of secure WAF content usage information) site. The nodes of said virtual black
box normally include a secure subsystem having at least one secure hardware element (a
semiconductor element or other hardware module for securely executing WAF control
processes), said secure subsystems being distributed at nodes along a pathway of
information storage, distribution, payment, usage, and/or auditing. In some embodiments,
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the functions of said hardware element, for certain or all nodes, may be performed by
software, for example, in host processing environments of electronic appliances;
(6) Encryption and decryption means;
(7) Secure communications means employing authentication, digital signaturing,
5 and encrypted transmissions. The secure subsystems at said user nodes utilize a protocol
that establishes and authenticates each node's and/or participant's identity, and establishes
one or more secure host-to-host encryption keys for communications between the secure
subsystems; and
(8) Secure control means that can allow each WAF installation to perform WAF
10 content authoring (placing content into WAF containers with associated control
information), content distribution, and content usage; as well as clearinghouse and other
administrative and analysis activities employing content usage information.
WAF extensively employs methods in the form of software objects to augment
configurability, portability, and security of the WAF environment. It also employs a
15 software object architecture for WAF content containers that carries protected content and
may also carry both ft-eely available information (e.g, summary, table of contents) and
secured content control information which ensures the performance of control information.
Content control information governs content usage according to criteria set by holders of
rights to an object's contents and/or according to parties who otherwise have rights
20 associated with distributing such content (such as governments, financial credit providers,
and users).
In part, security is enhanced by object methods employed by the present invention
because the encryption schemes used to protect an object can efficiently be further used to
protect the associated content control information (software control information and
25 relevant data) from modification. Said object techniques also enhance portability between
various computer and/or other appliance environments because electronic information in
the form of content can be inserted along with (for example, in the same object container
as) content control information (for said content) to produce a "published" object. As a
result, various portions of said control information may be specifically adapted for different
30 environments, such as for diverse computer platforms and operating systems, and said
various portions may all be carried by a WAF container.
An objective of WAF is supporting a transaction/distribution control standard.
Development of such a standard has many obstacles, given the security requirements and
related hardware and communications issues, widely differing environments, information
35 types, types of information usage, business and/or data security goals, varieties of
participants, and properties of delivered information. A significant feature of WAF
accommodates the many, varying distribution and other transaction variables by, in part,
decomposing electronic commerce and data security functions into generalized capability
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modules executable within a secure hardware SPU and/or corresponding software
subsystem and further allowing extensive flexibility in assembling, modifying, and/or
replacing, such modules (e.g. load modules and/or methods) in applications run on a WAF
installation foundation. This configurability and reconfigurability allows electronic
commerce and data security participants to reflect their priorities and requirements through
a process of iteratively shaping an evolving extended electronic agreement (electronic
control model). This shaping can occur as content control information passes from one
WAF participant to another and to the extent allowed by "in place" content control
information. This process allows users of WAF to recast existing control information and/or
add new control information as necessary (including the elimination of no longer required
elements).
WAF supports trusted (sufficiently secure) electronic information distribution and
usage control models for both commercial electronic content distribution and data security
applications. It can be configured to meet the diverse requirements of a network of
interrelated participants that may include content creators, content distributors, client
administrators, end users, and/or clearinghouses and/or other content usage information
users. These parties may constitute a network of participants involved in simple to complex
electronic content dissemination, usage control, usage reporting, and/or usage payment.
Disseminated content may include both originally provided and WAF generated
information (such as content usage information) and content control information may
persist through both chains (one or more pathways) of content and content control
information handling, as well as the direct usage of content. The configurability provided
by the present invention is particularly critical for supporting electronic commerce, that is
enabling businesses to create relationships and evolve strategies that offer competitive
value. Electronic commerce tools that are not inherently configurable and interoperable will
ultimately fail to produce products (and services) that meet both basic requirements and
evolving needs of most commerce applications.
BROWSER BASED AUTHENTICATION
□Verifies user identity using built-in browser functionality
□Maintains authentication information throughout sessions
□Utilizes centralized directory of profiles
□Provides LDAP compatibility
□Provides NDS compatibility
The security component of the present invention verifies user identity using built-
in browser functionality, allowing for immediate access to a user without requiring
installation of additional software. Authentication information may be maintained
throughout selected or all sessions to prevent unauthorized users from accessing resources
through a registered user's connection.
Optionally, a centralized directory of profiles may be used, which can be updated
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regularly as new user information is gathered. The centralized directory could also track
user movement from page to page or site to site. Also provided are LDAP and NDS
compatibility.
WEB APPLICATION ENTITLEMENT
5 DRestricts access to specific web applications based upon user privileges
□Determines if a user or group of users have permission to perform an
operation in a specific application
□Utilizes centralized directory of profiles for entitlement data
□Provides LDAP compatibility
10 cProvides NDS compatibility
The security component of the present invention also determines who has access to
which resources. One function may be to restrict access to specific web applications based
upon user privileges, which may be earned or purchased, or which may be granted because
of administrative or other duties. Further, the security component may determine if a user
15 or group of users have permission to perform an operation in a specific application. Again,
a centralized directory of profiles may be used for entitlement data. Also included could be
LDAP and NDS compatibility.
WEB DATA ENTITLEMENT
□Restricts access to web content and data based upon user privileges
20 DDetermines if a user or group of users have permission to manipulate web
data (create, read, update, delete)
□Utilizes centralized directory of profiles for entitlement data
□Provides LDAP compatibility
□Provides NDS compatibility
25 The security component of the present invention may also restrict access to web
content and data based upon user privileges, which may be earned or purchased, or which
may be granted because of administrative or other duties. The security component also
determines if a user or group of users have permission to manipulate web data such as to
create, read, update, or delete such data. Again, a centralized directory of profiles may be
30 used for entitlement data. Also included could be LDAP and NDS compatibility.
VIRTUAL PRIVATE NETWORKS
□Offers guaranteed secure data transfer
□Allows remote login
□Provides ability to grant varying levels of access based on user identity
35 The security component of the present invention may also permit users to create
secure virtual networks between their systems. One example would be two branches of a
business in two different cities being connected by a virtual network. Guaranteed secure
data transfer may be offered. Further, remote login is allowed. As an option, the ability to
grant varying levels of access based on user identity may be granted. This could include
40 both access to the virtual network, and to any individual resources shared through the
network.
NETWORK SERVICES
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As shown in component 1416 of Figure 14, one embodiment of the present
invention is provided for controlling the network and managing resources. More detail is
provided in Figure 28. Features include caching of network content in operation 2800,
providing application proxy services the network in operation 2802, managing resources
5 and load balancing such as spreading tasks among servers and rerouting around problems in
operation 2804, and managing network objects in operation 2806. Operation 2808 controls
at least one of bandwidth and speed of the network. Remote log in and access is provided
in operation 2810, and affording firewall services on the network in operation 2812,
WEB CONTENT CACHING
10 nStores frequently requested web pages and graphics in a temporary location
□Serves up previously cached content without accessing original source
□Updates cache automatically to ensure integrity of content
The network services component of the present invention may store frequently
requested web pages and graphics in a temporary location. In use, previously cached
15 content can be accessed without accessing original source. This dramatically reduces the
time required to output the requests web pages and graphics. Preferably, the cache is
automatically updated to ensure the integrity of the content stored in the cache.
APPLICATION PROXY SERVICES
□Passes requests from external clients to internal web servers and returns
20 results
□Serves as trusted agent to access machines on the behalf of clients
□Hides IP Addresses of machines from external clients
□Provides configuration control over access permissions
□Provides reverse proxy services
25 The network services component of the present invention passes requests from
external clients to internal web servers and returns results. This component may also serve
as trusted agent to access machines on the behalf of clients, particularly useful for
automatic upgrades or information downloading for offline use. Optionally, IP Addresses
of machines may be hidden from external clients. Further, configuration control may be
30 provided over access permissions. As another option, reverse proxy services could be
provided.
LOAD BALANCING
□Spreads tasks among application servers using an intelligent load-balance
scheme (e.g., CPU utilization)
35 □Provides a centralized task distribution mechanism for routing services
□Identifies servers that are off-line and re-routes traffic
Tasks may be spread among application servers using an intelligent load-balance
scheme (e.g., CPU utilization) by the network services component of the present invention.
A centralized task distribution mechanism would route services. Further, servers that are
40 off-line are identified and traffic is re-routed around them, such as to a parallel or
secondary server.
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NETWORK OBJECT MANAGEMENT
□Provides centralized directory to facilitate network object interactions
□Provides ability to administer network objects (e.g. printers, routers)
The network services component of the present invention provides a centralized
5 directory to facilitate network object interactions as well as provides the ability to
administer network objects (e.g. printers, routers, and other peripherals).
QUALITY OF SERVICE (BANDWIDTH)
□Offers range of speed and bandwidth based on customer profile (e.g., larger,
higher profile customers get faster service upon request)
10 The network services component of the present invention also offers selected range
of speed and bandwidth based on a user profile. For example, larger, higher profile users
get faster service upon request.
REMOTE ACCESS SERVICES (RADIUS)
□Enables high density modem pooling
15 □Provides a single dial-in number for ISDN or Analog calls and an automatic
back-up number if first one does not work
□Creates an Integrated Firewall / authentication
□Allows remote authenticated access to intranet
High density modem pooling is performed by the network services component of
20 the present invention. Also provided are a single dial-in number for ISDN or Analog calls
and an automatic back-up number if the first number does not work or returns a busy
signal. Optionally, an integrated firewall may be created or authorization may be verified
through authentication. Also optionally, remote authenticated access to intranet may be
allowed.
25 FIREWALL SERVICE
□Protects resources on a private network from users of other networks
□Filters network traffic based on security rules
□Provides alarm notification of attacks
□Provides logging and reporting functions
30 □Provides port and traffic control
Firewall services are also provided by the network services component of the
present invention. These services protect resources on a private network from users of
other networks. Further, network traffic may be fihered based on security rules. An alarm
notification may be provided in case of an attack on the system. Also, logging and
35 reporting functions may be provided, allowing administrators to track movement and
operations throughout the network as well as being useful for gathering statistics. Port and
traffic control would also be provided.
WEB AND INTERNET SERVICES
As illustrated in component 1418 of Figure 14, one embodiment of the present
40 invention is provided for affording a plurality of internet-related services. Among the
features included are the actual uploading of web pages to users' computers, encrypting
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data for secure transmission, storing and transmitting files, processing requests and
executing programs, and routing email.
In more detail, it is seen in Figure 29 that operation 2900 provides HTTP page
rendering over a network framework. In operation 2902, secure browser communication
over the network framework is enabled. Electronic mail transport services over the network
framework are afforded in operation 2904. In operation 2906, file transfer services over the
network framework are provided. Information of online events is gathered and logged
during online sessions over the network framework in operation 2908. Applications may
also be interfaced via predetermined protocols over the network framework. See operation
2910.
Secure WAF hardware (also known as SPUs for Secure Processing Units), or WAF
installations that use software to substitute for, or complement, said hardware (provided by
Host Processing Environments (HPEs)), operate in conjunction with secure
communications, systems integration software, and distributed software control information
and support structures, to achieve the electronic contract/rights protection environment of
the present invention. Together, these WAF components comprise a secure, virtual,
distributed content and/or appliance control, auditing (and other administration), reporting,
and payment environment. In some embodiments and where commercially acceptable,
certain WAF participants, such as clearinghouses that normally maintain sufficiently
physically secure non-WAF processing environments, may be allowed to employ HPEs
rather WAF hardware elements and interoperate, for example, with WAF end-users and
content providers. WAF components together comprise a configurable, consistent, secure
and "trusted" architecture for distributed, asynchronous control of electronic content and/or
appliance usage. WAF supports a "universe wide" environment for electronic content
delivery, broad dissemination, usage reporting, and usage related payment activities.
WAF provides generalized configurability. This results, in part, from
decomposition of generalized requirements for supporting electronic commerce and data
security into a broad range of constituent "atomic" and higher level components (such as
load modules, data elements, and methods) that may be variously aggregated together to
form control methods for electronic commerce applications, commercial electronic
agreements, and data security arrangements. WAF provides a secure operating environment
employing WAF foundation elements along with secure independently deliverable WAF
components that enable electronic commerce models and relationships to develop. WAF
specifically supports the unfolding of distribution models in which content providers, over
time, can expressly agree to, or allow, subsequent content providers and/or users to
participate in shaping the control information for, and consequences of, use of electronic
content and/or appliances. A very broad range of the functional attributes important for
supporting simple to very complex electronic commerce and data security activities are
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supported by capabilities of the present invention. As a result, WAF supports most types of
electronic information and/or appliance: usage control (including distribution), security,
usage auditing, reporting, other administration, and payment arrangements.
WAF, in its preferred embodiment, employs object software technology and uses
5 object technology to form "containers" for delivery of information that is (at least in part)
encrypted or otherwise secured. These containers may contain electronic content products
or other electronic information and some or all of their associated permissions (control)
information. These container objects may be distributed along pathways involving content
providers and/or content users. They may be securely moved among nodes of a Virtual
10 Distribution Environment (WAF) arrangement, which nodes operate WAF foundation
software and execute control methods to enact electronic information usage control and/or
administration models. The containers delivered through use of the preferred embodiment
of the present invention may be employed both for distributing WAF control instructions
(information) and/or to encapsulate and electronically distribute content that has been at
15 least partially secured.
Content providers who employ the present invention may include, for example,
software application and game publishers, database publishers, cable, television, and radio
broadcasters, electronic shopping vendors, and distributors of information in electronic
document, book, periodical, e-mail and/or other forms. Corporations, government agencies,
20 and/or individual "end-users" who act as storers of, and/or distributors of, electronic
information, may also be WAF content providers (in a restricted model, a user provides
content only to himself and employs WAF to secure his own confidential information
against unauthorized use by other parties). Electronic information may include proprietary
and/or confidential information for personal or internal organization use, as well as
25 information, such as software applications, documents, entertainment materials, and/or
reference information, which may be provided to other parties. Distribution may be by, for
example, physical media delivery, broadcast and/or telecommunication means, and in the
form of "static" files and/or streams of data. WAF may also be used, for example, for
multi-site "real-time" interaction such as teleconferencing, interactive games, or on-line
30 bulletin boards, where restrictions on, and/or auditing of, the use of all or portions of
communicated information is enforced.
WAF provides important mechanisms for both enforcing commercial agreements
and enabling the protection of privacy rights. WAF can securely deliver information from
one party to another concerning the use of commercially distributed electronic content.
35 Even if parties are separated by several "steps" in a chain (pathway) of handling for such
content usage information, such information is protected by WAF through encryption
and/or other secure processing. Because of that protection, the accuracy of such information
is guaranteed by WAF, and the information can be trusted by all parties to whom it is
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delivered. Furthermore, WAF guarantees that all parties can trust that such information
cannot be received by anyone other than the intended, authorized, party(ies) because it is
encrypted such that only an authorized party, or her agents, can decrypt it. Such information
may also be derived through a secure WAF process at a previous path way ~of-handling
5 location to produce secure WAF reporting information that is then communicated securely
to its intended recipient's WAF secure subsystem. Because WAF can deliver such
information securely, parties to an electronic agreement need not trust the accuracy of
commercial usage and/or other information delivered through means other than those under
control of WAF.
10 HTTP - PAGE RENDERING
□Serves requested web pages and graphics from web servers to client web
browsers
□Supports page rendering for multiple languages
□Supports multiple content sources (file system, databases, scripts)
15 The internet services component of the present invention serves requested web
pages and graphics from web servers to client web browsers. Page rendering for multiple
languages may be supported, as may transmission of data to and from multiple content
sources such as file systems, databases, and scripts.
SECURE BROWSER COMMUNICATIONS - SSL
20 aProvides encrypted communication with common web browsers
□Supports the Secure Sockets Layer protocol 2.0
□Supports the Secure Sockets Layer protocol 3.0
The internet services component of the present invention provides encrypted
communication with common web browsers, essential for commercial transactions and
25 when transmitting confidential memoranda. The Secure Sockets Layer protocol 2.0 is
supported, as is the Secure Sockets Layer protocol 3.0.
FILE TRANSFER SERVICES (FTP)
□Transfers files between computers on the Internet using the standard File
Transfer Protocol (FTP)
30 oStores files on a file system or database
□Provides mechanism to manage access control for files on a FTP server
The internet services component of the present invention may permit files to be
transferred between computers on the Internet using the standard File Transfer Protocol
(FTP). Such files would be stored on a file system or database. Security would also be
35 provided by managing access control for files on a FTP server.
WEB APPLICATION INTERFACE PROTOCOLS CGI/NSAPI/ISAPI
□Supports Common Gateway Interface (CGI) protocol
□Supports Netscape' API (NSAPI) protocol
□Supports Microsoft's API (ISAPI) protocol
40 □Provides alternative to the interface mechanism that may be used
The internet services component of the present invention would support a multitude
of interface protocols. Examples of protocols supported are Common Gateway Interface
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(CGI) protocol, Netscape' API (NSAPI) protocol, and Microsoft's API (IS API) protocol.
Further, alternative interface mechanisms may be provided for use instead of the default
mechanism.
WEB APPLICATION SERVER
5 nExecutes web application logic
□Utilizes user session information to support interactive applications
□Provides scalability features
□Provides fail-over features
□Provides application programming logic
10 The internet services component of the present invention also executes wch
application logic. User session information is utilized to support interactive applications as
well as for statistical purposes. Scalability features may be provided, as may fail-over
features. Application programming logic may also be provided.
STATE AND SESSION MANAGEMENT
15 □Provides mechanism to note and remember one or more preceding events
in a given sequence of interactions with the user or application program
□Tracks state and session information
□Manages multiple independent user sessions that are simultaneously active
□Supports Client Cookies
20 nSupports Client URL Encoding
□Supports Server Information with Client Cookies
□Supports Server Information with URL Session Identifiers
The internet services component of the present invention may provide a mechanism
to note and remember one or more preceding events in a given sequence of interactions
25 with the user or application program. State and session information may be tracked.
Multiple independent user sessions that are simultaneously active may be managed.
Support is provided for user cookies, server information with user cookies, client URL
encoding, and server information with URL session identifiers.
EMAIL, TRANSPORT SERVICES
30 □Routes inbound and outbound email messages to the appropriate email servers
□Filters incoming messages and blocks junk mail
□Queues messages for delivery
□Provides backup and restore capabilities for stored email
The internet services component of the present invention routes inbound and
35 outbound email messages to the appropriate email servers, where they are queued for
delivery. Optional features could include filtering of incoming messages and blocking junk
mail, as well as providing backup and restore capabilities for stored email.
CLIENT SERVICES
As shown in component 1420 of Figure 14, one embodiment of the present
40 invention is provided for affording a plurality of client service-related services. Referring
to Figure 30, among the features included are managing client verification data for user
authentication purposes in a network framework in operation 3000. In operation 3002,
electronic mail capabilities in the network framework are provided. Network framework
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browsing in the network framework is provided in operation 3004. File transfer capabilities
in the network framework, news reader capabilities in the network framework, and chat
room capabilities in the network framework are provided in operations 3006, 3008, and
3010, respectively. Playback capabilities in the network framework are enabled in
5 operation 3012. Financial transactional capabilities in the network framework are also
provided. Note operation 3014.
CERTIFICATES
□Manages client certificates for user authentication
The client services component of the present invention manages client certificates
10 used for user authentication. These include certificates used to identify a user during
automatic log on.
PLUG-INS AND NETWORK UTILITIES
□Provides email capabilities
□Provides Internet browser
1 5 □Provides telnet capabilities
□Provides FTP capabilities
□Provides news reader
□Provides chat capabilities
□Provides specialized plug~ins for specific functions (e.g., video)
20 □Provides audio playback capabilities
□Supports Java
□Provides electronic wallet capabilities
The client services component of the present invention provides several services.
25 These services may include email capabilities, access to an Internet browser, telnet
capabilities, and FTP capabilities. A news reader could be provided, as could chat
capabilities. Specialized plug-ins could be offered for specific functions such as audio and
video. Support for JAVA may be included. Optionally, electronic wallet capabilities could
be provided as well.
30 DATA SERVICES
As illustrated in component 1424 of Figure 14, one embodiment of the present
invention is provided for affording a combination of data-related services. Several features
are included such as sorting, storing, and transferring data. As shown in Figure 31, in
operation 3100 data access from multiple simultaneous data sources over a network
35 framework is provided. Application data is stored over the network framework in operation
3102.
DATA ACCESS ADAPTERS
□Supports native database access: Oracle, Informix, Sybase, MS SQL Server
□Supports ODBC
40 □Supports JDBC
□Provides mechanism to import and export data from external systems
□Supports data transfer in muhiple languages
□Supports multiple simultaneous data sources
□Provides data connection pooling
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□Provides a common data access language across all data sources
□Provides reporting and logging functions to detect communication errors
The data service component of the present invention supports native database
5 access such as Oracle, Informix, Sybase, and MS SQL Server, as well as ODBC and JDBC.
A mechanism is also provided to import and export data from external systems. Data
transfer in multiple languages is supported. Multiple simultaneous data sources may be
used. Data connection pooling may be provided. A common data access language may be
used across all data sources. Reporting and logging functions may also be provided to
10 detect communication errors.
APPLICATION DATA STORAGE
□Supports storage of application specific data
□Maintains and verifies integrity of application data
□Provides methods for administrators and user to manage data
15 nProvides replication and synchronization capabilities
□Supports ODBC
The data service component of the present invention supports storage of application
specific data as well as maintains and verifies the integrity of application data. Several
different methods to manage data may be provided, allowing administrators and users to
20 choose their preferred method. Replication and synchronization capabilities may be
included. Preferably, ODBC is supported.
Data delivery means may include electronic data storage means such as optical
disks for delivering one portion of said information and broadcasting and/or
telecommunicating means for other portions of said information. Electronic data storage
25 means may include magnetic media, optical media, combined magneto-optical systems,
flash RAM memory, bubble memory, and/or other memory storage means such as huge
capacity optical storage systems employing holographic, frequency, and/or polarity data
storage techniques. Data storage means may also employ layered disc techniques, such as
the use of generally transparent and/or translucent materials that pass light through layers of
30 data carrying discs which themselves are physically packaged together as one thicker disc.
Data carrying locations on such discs may be, at least in part, opaque.
INTEGRATION CAPABILITIES
As shown in component 1422 of Figure 14, one embodiment of the present
invention is provided for affording a combination of integration capabilities-related
35 services. Referring to Figure 32, it is seen that many features are provided, including
integration with financial and sales systems. See operations 3200 and 3202. Also, human
resource systems may be combined over the network framework in operation 3204.
Further, integration with call centers, as in operation 3206, and third party systems may also
be included.
40 FINANCIALS INTEGRATION
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□Provides adapter or mechanism to communicate and transfer data at the
functional level with Financial systems via real-time API's
□Provides adapter or mechanism to communicate and transfer data at the
functional level with Financial systems via batch API's
5 oSupports API's for external integration
□Supports Data Access Adapter capabilities
The integration capabilities component of the present invention may provide an
adapter or mechanism to communicate and transfer data at the functional level with
10 financial systems via real-time API's. Further provided may be an adapter or mechanism
to communicate and transfer data at the functional level with financial systems via batch
API's. Preferably, API's for external integration are supported. Data Access Adapter
capabilities may also be supported.
SALES FORCE INTEGRATION
15 aProvides adapter or mechanism to communicate and transfer data at the
functional level with Sales Force systems via real-time API's
□Provides adapter or mechanism to communicate and transfer data at the
functional level with Sales Force systems via batch API's
□Supports API's for external integration
20 □Supports Data Access Adapter capabilities
The integration capabilities component of the present invention provides an adapter
or mechanism to communicate and transfer data at the functional level with sales force
systems via real-time API's as well as via batch API's. API's for external integration may
25 be supported. Data Access Adapter capabilities may also be supported.
ERF INTEGRATION
□Provides adapter or mechanism to communicate and transfer data at the
functional level with ERP systems via real-time API's
□Provides adapter or mechanism to communicate and transfer data at the
30 functional level with ERP systems via batch API's
□Supports API's for external integration
□Supports Data Access Adapter capabilities
The integration capabilities component of the present invention provides an adapter
35 or mechanism to communicate and transfer data at the functional level with ERP systems
via real-time API's as well as via batch API's. Preferably, API's for external integration are
supported. Data Access Adapter capabilities may also be supported.
HUMAN RESOURCES INTEGRATION
□Provides adapter or mechanism to communicate and transfer data at the
40 functional level with Human Resources systems via real-time API's
□Provides adapter or mechanism to communicate and transfer data at the
functional level with Human Resources systems via batch API's
□Supports API's for external integration
□Supports Data Access Adapter capabilities
45
The integration capabilities component of the present invention may provide an
adapter or mechanism to communicate and transfer data at the functional level with human
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resources systems via real-time API's. Further provided may be an adapter or mechanism
to communicate and transfer data at the functional level with human resources systems via
batch API's. API's for external integration may be supported. Data Access Adapter
capabilities may also be supported.
CALL CENTER INTEGRATION
□Supports CTI integration from the web
□Provides adapter or mechanism to communicate and transfer data at the
functional level with Call Center systems via real-time API's
□Provides adapter or mechanism to communicate and transfer data at the
functional level with Call Center systems via batch API's
□Supports API's for external integration
□Supports Data Access Adapter capabilities
CTI integration from the web is supported by the integration capabilities
component of the present invention. An adapter or mechanism to communicate and transfer
data at the functional level with call center systems via real-time API's may be provided.
An adapter or mechanism to communicate and transfer data at the functional level with call
center systems via batch API's may also be provided.
Preferably, API's for external integration are supported. Data Access Adapter
capabilities may also be supported.
TRANSACTION INTEGRATION (FULFILLMENT/PAYMENT/3RD PARTY)
□Provides adapter or mechanism to transfer transactional information to a
fulfillment house, payment processing center or other third party
□Provides reporting and logging functions to detect communication errors
The integration capabilities component of the present invention may provide an
adapter or mechanism to transfer transactional information to a fulfillment house, payment
processing center, or a third party. As an option, reporting and logging functions may be
used to detect communication errors.
3RD PARTY INTEGRATION CAPABILITIES (CONTENT, TRAINING)
□Provides adapter or mechanism to communicate with external systems that
provide additional content such as catalog information
□Provides reporting and logging functions to detect communication errors
The integration capabilities component of the present invention may also provide
an adapter or mechanism to communicate with external systems that provide additional
content such as catalog information. Again, reporting and logging functions may be used to
detect communication errors.
MISCELLANEOUS SERVICES
As shown in component 1426 of Figure 14, one embodiment of the present
invention is provided for affording a combination of miscellaneous capabilities in a web
architecture framework. Steps included are providing locator capabilities and streaming
data over the network framework in operation 3300. Further, searching capabilities are
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provided over the network framew^ork in addition to logging events and passive profiling.
In operation 3302, streaming video and/or audio data is transmitted over the network
framework. Various events may be logged over the network framework. Note operation
3304. User profile information is passively managed over the network framework in
5 operation 3306.
LOCATOR CAPABILITIES - CHANNEL PARTNERS, ED. CENTERS
□Provides proximity-based mapping
□Enables control of search parameters
□Creates interactive maps
10 □Provides multi— criteria proximity search
□Enables dynamic map navigation
□Permits customizable page design
□Displays table of query results
□Allows user to print maps by one click
15
Mapping functions may be provided by the present invention, including proximity-
based mapping and interactive mapping. Controls of search parameters would be provided,
and could include multi-criteria proximity searching. Dynamic map navigation may be
enabled. A table of query results would be displayed. The maps displayed would be
20 printable. Optionally, customizable page design could be permitted, such as allowing a user
to personalize mapping based on his or her favorite destinations.
STREAMING VIDEO & AUDIO CAPABILITIES
□Provides streaming video download
□Provides content creation capabilities (e.g. recording, video transfer)
25 nProvides stereo audio
□Delivers end-user multimedia across all bandwidths
□Offers customizable web-based server administration and reporting to aid
business management
□Provides enhanced security for sensitive or pay-per-view content
30 □Integrates with existing back office applications
□Develops customized applications and leverages content in existing formats
□Offers ability to scale with additional hardware
□Supports multiple concurrent users
35 Streaming audio and video downloads may be available. Examples could include
live radio and television programs, as well as previously generated or recorded video and
audio clips. Ideally, audio would be produced in stereo. Optional features could include
content creation capabilities, e.g., recording, video transfer, etc.
End-user multimedia may be delivered across all bandwidths. As an option,
40 customizable web-based server administration and reporting could be offered to aid
business management. Enhanced security would be used for sensitive or pay-per-view
content. Ideally, multimedia capabilities would integrate with existing back office
applications. Customized applications and leveraged content could be created in existing
formats. Also offered could be the ability to scale with additional hardware. Ideally, the
45 multimedia components support multiple concurrent users.
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SEARCH CAPABILITIES
□Indexes file-based content
□Indexes database content
□Indexes 3rd party content
5 □Supports multiple indices and multiple content sources
□Provides basic search options (product number, name)
□Provides keyword searching
□Provides question-based searching
□Provides advanced flexible searching tools (parametric)
10 □Support searching using multiple languages
□Supports programmable filters
□Supports multiple languages
The present invention may index various types of system content, including file-
15 based content, database content, and 3rd party content. Preferably, multiple indices and
multiple content sources are supported. Many modes of searching may be offered. Basic
search options could include product number or name. Keyword searching may be allowed,
as may question-based searching. Advanced flexible searching tools, such as parametric
tools, may be used. Examples include searching using multiple languages. Ideally,
20 programmable filters may be used to filter out unwanted content. Also ideally, the user
interface supports multiple languages.
WEB EVENT LOGGING
□Makes observation logs and event histories available for structured and ad-
hoc reporting and analysis
25 □Provides log management and archiving functions
The present invention may make observation logs and event histories available for
structured and ad-hoc reporting and analysis. This information would also be useful for
tracking unauthorized access to restricted content. Also provided may be log management
30 and archiving functions.
PASSIVE PROFILING CAPABILITIES
□Manages and leverages profile information
□Maintains identity and state for each user
□Adds preference and interest information for each customer's personal profile
The present invention may manage and leverage profile information. The identity
and state for each user would be maintained. Preference and interest information for each
customer's personal profile may also be added.
DIRECTORY SERVICES
40 As shown in component 1428 of Figure 14, one embodiment of the present
invention is provided for affording a combination of directory-related services. In
operation 3400 of Figure 34 user profile data is validated in a system. The user profile data
in the system is managed in operation 3402 and stored in operation 3404, while network
object data in the system is managed in operation 3406 and stored in operation 3408.
45 Community profile data may be assigned to a community including a plurality of users in
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the system. See operation 3410. Community profile data is validated in the system in
operation 3412, managed in the system in operation 3414, and stored in the system in
operation 3416.
VALroATION MANAGEMENT & STORAGE OF BASE PROFILE DATA
5 oMaintains and verifies integrity of user profile information such as usemame,
password, user groups
□Provides methods for administrators and users to manage user profile
information
□Organizes and stores user profile data in permanent storage space
10 □Provides replication and synchronization capabilities
□Supports LDAP
□Supports NDS
□Supports ODBC
15 The directory services component of the present invention maintains and verifies
integrity of user profile information such as usemame, password, user groups, and the like.
Several methods may be provided for administrators and users to manage user profile
information, which is organized and stored in permanent storage space. Optionally,
replication and synchronization capabilities may be provided. Ideally, support is provided
20 for LDAP, NDS, ODBC, and others.
ASSIGNMENT OF USER PROFILES TO COMMUNITIES
□Adds site-specific information to each person's profile provided the
individual gives consent
□Allows user to choose to belong to a particular community
25 dAIIows user to be remove himself from a particular community or change
community
The directory services component of the present invention may add site-specific
information to each user's profile provided the user gives consent. Further, each user may
30 be allowed to choose to belong to a particular community made up of other users. A user
would also be able remove himself or herself from a particular community as well as
change to a different community.
VALIDATION, MANAGEMENT, & STORAGE OF BASE COMMUNITY DATA
□Maintains and verifies integrity of community data information such as users
35 assigned to a specific community
□Provides methods for administrators to manage community information
□Organizes and stores community data in permanent storage space
The integrity of community data information such as users assigned to a specific
40 community would be maintained and verified by the directory services component of the
present invention. Administrators would also be provided with methods to manage
community information. Ideally, community data is organized and stored in permanent
storage space.
MANAGEMENT & STORAGE OF NETWORK OBJECT DATA
45 □Organizes and stores network object data in permanent storage space
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□Provides replication and synchronization capabilities
□Supports LDAP
□Supports NDS
5 The directory services component of the present invention organizes and stores
network object data in permanent storage space as well as provides replication and
synchronization capabilities. Ideally, support is offered for LDAP and NDS, among others.
MANAGEMENT AND OPERATIONS
As illustrated in component 1430 of Figure 14, one embodiment of the present
10 invention is provided for affording a combination of management and operation-related
services. Features include billing for usage of particular sites, monitoring site performance,
creating and managing user profiles, and scheduling of operations and functions such as
software updates.
Referring to Figure 35, auditing of administrative data in a system is performed in
15 operation 3500. Data from log files in the system is analyzed in operation 3502. In
operation 3504, rules and policies are managed in the system. Usage in the system is
audited in operation 3506 while billing for the usage in the system is performed in
operation 3508. Performance in the system is monitored in operation 3510. Communities
of users may be managed in the system. See operation 3512. In operation 3514, backup
20 capabilities are provided in the system, as is network application staging in operation 3516.
ADMINISTRATIVE AUDITING
□Provides ability to track frequency of usage for specific functions on site (e.g.
shopping cart, etc.)
□Provides ability to track frequency of usage by specific users
25 nProvides ability to track custom metrics
The management and operations component of the present invention provides the
ability to track frequency of usage for specific functions on a site. One example includes
the frequency of usage of the shopping cart, etc. Ideally, the frequency of usage by specific
30 users can be tracked. Also ideally, custom metrics can also be tracked.
LOG ANALYSIS CAPABILITIES
□Extracts and analyzes data from log files and other sources
□Generates predefined and ad-hoc reports based upon log and data analysis
□Identifies trends and forecast performance based upon analysis
35 □Provides advanced data analysis and report programming tools
The management and operations component of the present invention may be used to
extract and analyzes data from log files and other sources. Predefined and ad-hoc reports
may be generated based upon log and data analysis. Trends may be identified and
40 performance forecast based upon analysis of preselected factors. Ideally, advanced data
analysis and report programming tools are available.
RULES & POLICY MANAGEMENT
□Manages rules for common capabilities such as advertisements and
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promotions
□Manages policies for operations such as authorization and access control for
user groups and content
□Logs policy changes
The management and operations component of the present invention manages rules
for common capabilities such as advertisements and promotions. Also managed are
policies for operations such as authorization and access control for user groups and content.
Policy changes are logged.
AUDITING AND BILLING FOR USAGE (CHARGE-BACK)
□Provides ability to track usage of site to specific users and bill for that usage
The ability to track usage of a site to specific users and bill for that users is
provided by the management and operations component of the present invention. For
example, a user would be billed for belonging to a site requiring a monthly fee for viewing.
WEB PERFORMANCE MONITORING CAPABILITIES
□Monitors production web site performance and traffic
□Provides automatic alarm for performance thresholds
□Generates reports based upon past performance
The management and operations component of the present invention may monitor
production web site performance and trafHc. An automatic alarm may be set to go ofiF when
performance thresholds are being approached or exceeded. As an option, reports may be
generated based upon past performance.
NETWORK MANAGEMENT
□Centrally creates and manages policies and user profiles
□Centrally creates hardware inventories for workstations automatically
□Centrally configures printers
□Offers centralized application installation
□Assigns application rights to groups or individuals
□Creates standard desktop environment for some or all users
□Offers load balancing
□Offers automatic transparent transfer across multiple servers
□Provides remote help desk utilities for software-related problems
The management and operations component of the present invention centrally
creates and manages policies and user profiles. Hardware inventories for workstations may
also be automatically centrally created. Printers are centrally configured and loads are
balanced. Centralized application installation may be offered. As an option, particular
application rights may be assigned to groups or individuals and a standard desktop
environment may be offered to some or all users. Ideally, automatic transparent transfer
across multiple servers is permitted. Optionally, remote help desk utilities for software-
related problems are provided.
COMMUNITY & ROLE MANAGEMENT
□Defines communities of visitors based on common characteristics and
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preferences
□Dynamically assigns user to community based on profile
□Updates community attributes
5 The management and operations component of the present invention may define
communities of visitors based on common characteristics and preferences. Users may be
dynamically assigned to particular communities based on their profiles. Ideally, community
attributes are periodically updated.
REDUNDANCY/BACKUP CAPABILITIES
10 nRestores deleted application files an corrupted files/settings automatically
□Provides component failover capabilities
The management and operations component of the present invention may restore
deleted application files as well as corrupted files and setting automatically. Also provided
15 may be component failure capabilities.
WEB APP. ADMIN CAPABILITIES (STORE, TRAINING, SERVICE)
□Provides catalog administrative capabilities (add products, change prices)
□Provides application administration tools (restart application)
20 The management and operations component of the present invention may provide
catalog administrative capabilities. Such capabilities could add products, change prices,
etc. Application administration tools could be provided as well. For example, such
administration tools could restart an application when necessary, such as after an automatic
software update or where the application has stopped responding.
25 CONFIGURATION MANAGEMENT CAPABILITIES
□Provides centralized application installation
□Schedules software updates to occur at a specific time (e.g. certain days, off-
peak hours)
□Creates standard environment for applications
30 nAssigns application rights to groups or individuals
□Blocks unauthorized deletion of network-installed applications
□Integrates with web applications revision control system
□Provides logging mechanism to track configuration change requests
35 Centralized application installation may be provided by the management and
operations component of the present invention. Software updates may be scheduled to
occur at a specific time, such as on certain days or during off-peak hours. Application
rights may be assigned to groups or individuals, and unauthorized deletion of network-
installed applications would be blocked. Ideally, the management and operations
40 component of the present invention integrates with the revision control systems of web
applications. Optionally, a logging mechanism may be provided for tracking configuration
change requests. As another option, standard environments for applications may be created.
WEB APPLICATION STAGING
□Provides ability to preview, test and change applications before production
45 stage
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□Provides ability to schedule releases (e.g. time-based batch release,
individual immediate release, etc.)
The ability to preview, test and change applications before production stage may be
5 provided by the management and operations component of the present invention, as may the
ability to schedule releases, such as time-based batch releases, individual immediate
releases, and the like.
WEB DEVELOPER SERVICES
As shown in component 1432 of Figure 14, one embodiment of the present
10 invention is provided for affording a combination of web development-related services.
Various features may be included, such as development tools, utilities, and testing tools, as
are provided in operation 3600 of Figure 36. System applications are debugged in
operation 3602. In operation 3604, the generation of revisions of the system applications is
controlled, and in operation 3606, the operability of the system applications are tested.
1 5 WEB APPLICATION DEVELOPMENT TOOLS
□Provides application languages, tools, and utilities
□Automatically generates site maps for user's collection of pages
□Automatically tests local and remote hyperlinks
□Coordinates file reuse among projects
20 □Integrates with revision control system
The web development component of the present invention may provide application
languages, tools, and utilities. A site maps of a collection of pages of a particular user may
be automatically generated. Further, local and remote hyperlinks may be automatically
25 tested. As an option, file reuse among projects may be coordinated. Ideally, the
management and operations component of the present invention integrates with a revision
control system.
WEB APPLICATION DEBUGGING UTILITIES
□Offers step-through debugging tool
30 □Automatically compiles finished code to test technical correctness
□Offers auto-correction for common errors
□Automatically checks all links off of site for validity
□Provides ability to set variable watches
□Provides ability to set program break points
35 □Provides ability to log to a debugging file
The web development component of the present invention may offer a step-through
debugging tool, which could guide a user through a series of diagnostic tests aimed at
identifying and resolving problems causing errors. Preferably, finished code is
40 automatically compiled to test its technical correctness. Optionally, auto-correction of
common errors may be a feature. Also optionally, all links off of a site may be
automatically checked for validity. The ability to set variable watches may be provided, as
may the ability to set program break points and log to a debugging file.
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WEB APPLICATION REVISION CONTROL
□Stores current files along with past changes to docs to allow easy recreation
of previous versions
□Allows user to set various access levels to assign user- and project-specific
5 authorization
□Allows user to tailor custom file access rights
□Reconciles file changes from multiple users to prevent accidental code
overwriting
□Speeds up performance by allowing direct access to most recent files, leaving
10 delta storage for previous versions
□Ensures each user kept in sync with rest of the team by comparing the user's
personal working directory with the corresponding shared project
□Allows specific versions of files to be grouped to identify application builds
15 The web development component of the present invention may store current files
along with past changes to docs to allow easy re-creation of previous versions. Users may
be allowed to set various access levels to assign user- and project— specific authorization.
Preferably, users are allowed to tailor custom file access rights.
Optionally, file changes from multiple users may be reconciled to prevent
20 accidental code overwriting as well as for speeding up performance by allowing direct
access to most recent files, leaving delta storage for previous versions. The web
development component of the present invention ensures each user is kept in sync with the
rest of the team by comparing the user's personal working directory with the corresponding
shared project. Specific versions of files may be allowed to be grouped to identify
25 application builds.
WEB SITE TESTING TOOLS (PERFORMANCE & LINK SPIDERS)
□Simulates multiple users on web site
□Allows pages to be retrieved and programmatically navigated by simulated
clients
30 □Logs error messages
□Records performance statistics
□Enables programmatic control of load generation
□Allows tests to be scheduled and load to be varied over time
35 The web development component of the present invention may test a web site, such
as by simulating multiple users on web site. Pages may be retrieved and programmatically
navigated by simulated clients. Error messages are logged and performance statistics are
recorded. Programmatic control of load generation may be enabled. Tests can be
scheduled and loaded to be varied over time.
40 While various embodiments have been described above, it should be understood
that they have been presented by way of example only, and not limitation. Thus, the
breadth and scope of a preferred embodiment should not be limited by any of the above
described exemplary embodiments, but should be defined only in accordance with the
following claims and their equivalents.
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WAF provides organization, community, and/or universe wide secure environments
whose integrity is assured by processes securely controlled in WAF participant user
installations (nodes). WAF installations, in the preferred embodiment, may include both
software and tamper resistant hardware semiconductor elements. Such a semiconductor
arrangement comprises, at least in part, special purpose circuitry that has been designed to
protect against tampering with, or unauthorized observation of, the information and
functions used in performing the WAFs control functions. The special purpose secure
circuitry provided by the present invention includes at least one of: a dedicated
semiconductor arrangement known as a Secure Processing Unit (SPU) and/or a standard
microprocessor, microcontroller, and/or other processing logic that accommodates the
requirements of the present invention and functions as an SPU. WAF's secure hardware
may be found incorporated into, for example, a fax/modem chip or chip pack, I/O
controller, video display controller, and/or other available digital processing arrangements.
It is anticipated that portions of the present invention's WAF secure hardware capabilities
may ultimately be standard design elements of central processing units (CPUs) for
computers and various other electronic devices.
Designing WAF capabilities into one or more standard microprocessor,
microcontroller and/or other digital processing components may materially reduce WAF
related hardware costs by employing the same hardware resources for both the transaction
management uses contemplated by the present invention and for other, host electronic
appliance functions. This means that a WAF SPU can employ (share) circuitry elements of
a "standard" CPU. For example, if a "standard" processor can operate in protected mode
and can execute WAF related instructions as a protected activity, then such an embodiment
may provide sufficient hardware security for a variety of applications and the expense of a
special purpose processor might be avoided. Under one preferred embodiment of the
present invention, certain memory (e.g., RAM, ROM, NVRAM) is maintained during WAF
related instruction processing in a protected mode (for example, as supported by protected
mode microprocessors). This memory is located in the same package as the processing logic
(e.g. processor). Desirably, the packaging and memory of such a processor would be
designed using security techniques that enhance its resistance to tampering.
The degree of overall security of the WAF system is primarily dependent on the
degree of tamper resistance and concealment of WAF control process execution and related
data storage activities. Employing special purpose semiconductor packaging techniques can
significantly contribute to the degree of security. Concealment and tamper-resistance in
semiconductor memory (e.g., RAM, ROM, NVRAM) can be achieved, in part, by
employing such memory within an SPU package, by encrypting data before it is sent to
external memory (such as an external RAM package) and decrypting encrypted data within
the CPU/RAM package before it is executed. This process is used for important WAF
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related data when such data is stored on unprotected media, for example, standard host
storage, such as random access memory, mass storage, etc. In that event, a WAF SPU
would encrypt data that results from a secure WAF execution before such data was stored
in external memory.
5 Summary of Some Important Features Provided by WAF in Accordance With the
Present Invention
WAF employs a variety of capabilities that serve as a foundation for a general
purpose, sufficiently secure distributed electronic commerce solution. WAF enables an
electronic commerce marketplace that supports divergent, competitive business
10 partnerships, agreements, and evolving overall business models. For example, WAF
includes features that:
"sufficiently" impede unauthorized and/or uncompensated use of electronic
information and/or appliances through the use of secure communication, storage, and
transaction management technologies. WAF supports a model wide, distributed security
15 implementation which creates a single secure "virtual" transaction processing and
information storage environment. WAF enables distributed WAF installations to securely
store and communicate information and remotely control the execution processes and the
character of use of electronic information at other WAF installations and in a wide variety
of ways;
20 support low-cost, efficient, and effective security architectures for transaction
control, auditing, reporting, and related communications and information storage, WAF
may employ tagging related security techniques, the time-ageing of encryption keys, the
compartmentalization of both stored control information (including differentially tagging
such stored information to ensure against substitution and tampering) and distributed
25 content (to, for many content applications, employ one or more content encryption keys that
are unique to the specific WAF installation and/or user), private key techniques such as
triple DES to encrypt content, public key techniques such as RSA to protect
communications and to provide the benefits of digital signature and authentication to
securely bind together the nodes of a WAF arrangement, secure processing of important
30 transaction management executable code, and a combining of a small amount of highly
secure, hardware protected storage space with a much larger "exposed" mass media storage
space storing secured (normally encrypted and tagged) control and audit information. WAF
employs special purpose hardware distributed throughout some or all locations of a WAF
implementation: a) said hardware controlling important elements of: content preparation
35 (such as causing such content to be placed in a WAF content container and associating
content control information with said content), content and/or electronic appliance usage
auditing, content usage analysis, as well as content usage control; and b) said hardware
having been designed to securely handle processing load module control activities, wherein
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said control processing activities may involve a sequence of required control factors;
support dynamic user selection of information subsets of a WAF electronic
information product (WAF controlled content). This contrasts with the constraints of
having to use a few high level individual, pre-defined content provider information
5 increments such as being required to select a whole information product or product section
in order to acquire or otherwise use a portion of such product or section. WAF supports
metering and usage control over a variety of increments (including "atomic" increments,
and combinations of different increment types) that are selected ad hoc by a user and
represent a collection of pre-identified one or more increments (such as one or more blocks
10 of a preidentified nature, e.g., bytes, images, logically related blocks) that form a generally
arbitrary, but logical to a user, content "deliverable." WAF control information (including
budgeting, pricing and metering) can be configured so that it can specifically apply, as
appropriate, to ad hoc selection of different, unanticipated variable user selected
aggregations of information increments and pricing levels can be, at least in part, based on
15 quantities and/or nature of mixed increment selections (for example, a certain quantity of
certain text could mean associated images might be discounted by 15%; a greater quantity
of text in the "mixed" increment selection might mean the images are discounted 20%).
Such user selected aggregated information increments can reflect the actual requirements of
a user for information and is more flexible than being limited to a single, or a few, high
20 level, (e.g. product, document, database record) predetermined increments. Such high level
increments may include quantities of information not desired by the user and as a result be
more costly than the subset of information needed by the user if such a subset was
available. In sum, the present invention allows information contained in electronic
information products to be supplied according to user specification. Tailoring to user
25 specification allows the present invention to provide the greatest value to users, which in
turn will generate the greatest amount of electronic commerce activity. The user, for
example, would be able to define an aggregation of content derived from various portions
of an available content product, but which, as a deliverable for use by the user, is an entirely
unique aggregated increment. The user may, for example, select certain numbers of bytes of
30 information from various portions of an information product, such as a reference work, and
copy them to disc in unencrypted form and be billed based on total number of bytes plus a
surcharge on the number of "articles" that provided the bytes. A content provider might
reasonably charge less for such a user defined information increment since the user does not
require all of the content from all of the articles that contained desired information. This
35 process of defining a user desired information increment may involve artificial intelligence
database search tools that contribute to the location of the most relevant portions of
information from an information product and cause the automatic display to the user of
information describing search criteria hits for user selection or the automatic extraction and
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delivery of such portions to the user. WAF further supports a wide variety of predefined
increment types including:
bytes,
images,
5 content over time for audio or video, or any other increment that can be identified
by content provider data mapping efforts, such as:
sentences,
paragraphs,
articles,
10 database records, and
byte offsets representing increments of logically related information.
WAF supports as many simultaneous predefined increment types as may be
practical for a given type of content and business model.
Securely store at a user's site potentially highly detailed information reflective of a
15 user's usage of a variety of different content segment types and employing both inexpensive
"exposed" host mass storage for maintaining detailed information in the form of encrypted
data and maintaining summary information for security testing in highly secure special
purpose WAF installation nonvolatile memory (if available).
Support trusted chain of handling capabilities for pathways of distributed electronic
20 information and/or for content usage related information. Such chains may extend, for
example, from a content creator, to a distributor, a redistributor, a client user, and then may
provide a pathway for securely reporting the same and/or differing usage information to one
or more auditors, such as to one or more independent clearinghouses and then back to the
content providers, including content creators. The same and/or different pathways
25 employed for certain content handling, and related content control information and
reporting information handling, may also be employed as one or more pathways for
electronic payment handling (payment is characterized in the present invention as
administrative content) for electronic content and/or appliance usage. These pathways are
used for conveyance of all or portions of content, and/or content related control
30 information. Content creators and other providers can specify the pathways that, partially or
fiilly, must be used to disseminate commercially distributed property content, content
control information, payment administrative content, and/or associated usage reporting
information. Control information specified by content providers may also specify which
specific parties must or may (including, for example, a group of eligible parties from which
35 a selection may be made) handle conveyed information. It may also specify what
transmission means (for example telecommunication carriers or media types) and
transmission hubs must or may be used.
Support flexible auditing mechanisms, such as employing "bitmap meters," that
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achieve a high degree of efficiency of operation and throughput and allow, in a practical
manner, the retention and ready recall of information related to previous usage activities
and related patterns. This flexibility is adaptable to a wide variety of billing and security
control strategies such as:
5 upgrade pricing (e.g. suite purchases),
pricing discounts (including quantity discounts),
billing related time duration variables such as discounting new purchases based on
the timing of past purchases, and
security budgets based on quantity of different, logically related units of electronic
10 information used over an interval of time.
Use of bitmap meters (including "regular" and "wide" bitmap meters) to record
usage and/or purchase of information, in conjunction with other elements of the preferred
embodiment of the present invention, uniquely supports efficient maintenance of usage
history for: (a) rental, (b) flat fee licensing or purchase, (c) licensing or purchase discounts
15 based upon historical usage variables, and (d) reporting to users in a manner enabling users
to determine whether a certain item was acquired, or acquired within a certain time period
(without requiring the use of conventional database mechanisms, which are highly
inefficient for these applications). Bitmap meter methods record activities associated with
electronic appliances, properties, objects, or portions thereof, and/or administrative
20 activities that are independent of specific properties, objects, etc., performed by a user
and/or electronic appliance such that a content and/or appliance provider and/or controller
of an administrative activity can determine whether a certain activity has occurred at some
point, or during a certain period, in the past (for example, certain use of a commercial
electronic content product and/or appliance). Such determinations can then be used as part
25 of pricing and/or control strategies of a content and/or appliance provider, and/or controller
of an administrative activity. For example, the content provider may choose to charge only
once for access to a portion of a property, regardless of the number of times that portion of
the property is accessed by a user.
Support "launchable" content, that is content that can be provided by a content
30 provider to an end-user, who can then copy or pass along the content to other end-user
parties without requiring the direct participation of a content provider to register and/or
otherwise initialize the content for use. This content goes "out of (the traditional
distribution) channel" in the form of a "traveling object." Traveling objects are containers
that securely carry at least some permissions information and/or methods that are required
35 for their use (such methods need not be carried by travelmg objects if the required methods
will be available at, or directly available to a destination WAF installation). Certain
travelling objects may be used at some or all WAF installations of a given WAF
arrangement since they can make available the content control information necessary for
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content use without requiring the involvement of a commercial WAF value chain
participant or data security administrator (e.g. a control officer or network administrator).
As long as traveling object control information requirements are available at the user WAF
installation secure subsystem (such as the presence of a sufficient quantity of financial
5 credit from an authorized credit provider), at least some travelling object content may be
used by a receiving party without the need to establish a connection with a remote WAF
authority (until, for example, budgets are exhausted or a time content usage reporting
interval has occurred). Traveling objects can travel "out-of-channel," allowing, for
example, a user to give a copy of a traveling object whose content is a software program, a
10 movie or a game, to a neighbor, the neighbor being able to use the traveling object if
appropriate credit (e.g. an electronic clearinghouse account fi-om a clearinghouse such as
VISA or AT&T) is available. Similarly, electronic information that is generally available on
an Internet, or a similar network, repository might be provided in the form of a traveling
object that can be downloaded and subsequently copied by the initial downloader and then
15 passed along to other parties who may pass the object on to additional parties.
Provide very flexible and extensible user identification according to individuals,
installations, by groups such as classes, and by function and hierarchical identification
employing a hierarchy of levels of client identification (for example, client organization ID,
client department ID, client network ID, client project ID, and client employee ID, or any
20 appropriate subset of the above).
Provide a general purpose, secure, component based content control and
distribution system that functions as a foundation transaction operating system environment
that employs executable code pieces crafted for transaction control and auditing. These
code pieces can be reused to optimize efficiency in creation and operation of trusted,
25 distributed transaction management arrangements. WAF supports providing such
executable code in the form of "atomic" load modules and associated data. Many such load
modules are inherently configurable, aggregatable, portable, and extensible and singularly,
or in combination (along with associated data), run as control methods under the WAF
transaction operating environment. WAF can satisfy the requirements of widely differing
30 electronic commerce and data security applications by, in part, employing this general
purpose transaction management foundation to securely process WAF transaction related
control methods. Control methods are created primarily through the use of one or more of
said executable, reusable load module code pieces (normally in the form of executable
object components) and associated data. The component nature of control methods allows
35 the present invention to efficiently operate as a highly configurable content control system.
Under the present invention, content control models can be iteratively and asynchronously
shaped, and otherwise updated to accommodate the needs of WAF participants to the extent
that such shaping and otherwise updating conforms to constraints applied by a WAF
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application, if any (e.g., whether new component assemblies are accepted and, if so, what
certification requirements exist for such component assemblies or whether any or certain
participants may shape any or certain control information by selection amongst optional
control information (permissions record) control methods. This iterative (or concurrent)
5 multiple participant process occurs as a result of the submission and use of secure, control
information components (executable code such as load modules and/or methods, and/or
associated data). These components may be contributed independently by secure
communication between each control information influencing WAF participant's WAF
installation and may require certification for use with a given application, where such
10 certification was provided by a certification service manager for the WAF arrangement who
ensures secure interoperability and/or reliability (e.g., bug control resulting from
interaction) between appliances and submitted control methods. The transaction
management control functions of a WAF electronic appliance transaction operating
environment interact with non-secure transaction management operating system functions
15 to properly direct transaction processes and data related to electronic information security,
usage control, auditing, and usage reporting. WAF provides the capability to manages
resources related to secure WAF content and/or appliance control information execution
and data storage.
Facilitate creation of application and/or system functionality under WAF and to
20 facilitate integration into electronic appliance environments of load modules and methods
created under the present invention. To achieve this, WAF employs an Application
Programmer's Interface (API) and/or a transaction operating system (such as a ROS)
programming language with incorporated functions, both of which support the use of
capabilities and can be used to efficiently and tightly integrate WAF functionality into
25 commercial and user applications.
Support user interaction through: (a) "Pop-Up" applications which, for example,
provide messages to users and enable users to take specific actions such as approving a
transaction, (b) stand-alone WAF applications that provide administrative environments for
user activities such as: end-user preference specifications for limiting the price per
30 transaction, unit of time, and/or session, for accessing history information concerning
previous transactions, for reviewing financial information such as budgets, expenditures
(e.g. detailed and/or summary) and usage analysis information, and (c) WAF aware
applications which, as a result of the use of a WAF API and/or a transaction management
(for example, ROS based) programming language embeds WAF "awareness" into
35 commercial or internal software (application programs, games, etc.) so that WAF user
control information and services are seamlessly integrated into such software and can be
directly accessed by a user since the underlying functionality has been integrated into the
commercial software's native design. For example, in a WAF aware word processor
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application, a user may be able to "print" a document into a WAF content container object,
applying specific control information by selecting from amongst a series of different menu
templates for different purposes (for example, a confidential memo template for internal
organization purposes may restrict the ability to "keep," that is to make an electronic copy
5 of the memo).
Employ "templates" to ease the process of configuring capabilities of the present
invention as they relate to specific industries or businesses. Templates are applications or
application add-ons under the present invention. Templates support the efficient
specification and/or manipulation of criteria related to specific content types, distribution
10 approaches, pricing mechanisms, user interactions with content and/or administrative
activities, and/or the like. Given the very large range of capabilities and configurations
supported by the present invention, reducing the range of configuration opportunities to a
manageable subset particularly appropriate for a given business model allows the full
configurable power of the present invention to be easily employed by "typical" users who
15 would be otherwise burdened with complex programming and/or configuration design
responsibilities template applications can also help ensure that WAF related processes are
secure and optimally bug free by reducing the risks associated with the contribution of
independently developed load modules, including unpredictable aspects of code interaction
between independent modules and applications, as well as security risks associated with
20 possible presence of viruses in such modules. WAF, through the use of templates, reduces
typical user configuration responsibilities to an appropriately focused set of activities
including selection of method types (e.g. functionality) through menu choices such as
multiple choice, icon selection, and/or prompting for method parameter data (such as
identification information, prices, budget limits, dates, periods of time, access rights to
25 specific content, etc.) that supply appropriate and/or necessary data for control information
purposes. By limiting the typical (non-programming) user to a limited subset of
configuration activities whose general configuration environment (template) has been preset
to reflect general requirements corresponding to that user, or a content or other business
model can very substantially limit difficulties associated with content containerization
30 (including placing initial control information on content), distribution, client administration,
electronic agreement implementation, end-user interaction, and clearinghouse activities,
including associated interoperability problems (such as conflicts resulting from security,
operating system, and/or certification incompatibilities). Use of appropriate WAF templates
can assure users that their activities related to content WAF containerization, contribution
35 of other control information, communications, encryption techniques and/or keys, etc. will
be in compliance with specifications for their distributed WAF arrangement. WAF
templates constitute preset configurations that can normally be reconfigurable to allow for
new and/or modified templates that reflect adaptation into new industries as they evolve or
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to reflect the evolution or other change of an existing industry. For example, the template
concept may be used to provide individual, overall frameworks for organizations and
individuals that create, modify, market, distribute, consume, and/or otherwise use movies,
audio recordings and live performances, magazines, telephony based retail sales, catalogs,
5 computer software, information data bases, multimedia, commercial communications,
advertisements, market surveys, infomercials, games, CAD/CAM services for numerically
controlled machines, and the like. As the context surrounding these templates changes or
evolves, template applications provided under the present invention may be modified to
meet these changes for broad use, or for more focused activities. A given WAF participant
10 may have a plurality of templates available for different tasks. A party that places content in
its initial WAF container may have a variety of different, configurable templates depending
on the type of content and/or business model related to the content. An end-user may have
different configurable templates that can be applied to different document types (e-mail,
secure internal documents, database records, etc.) and/or subsets of users (applying
15 differing general sets of control information to different bodies of users, for example,
selecting a list of users who may, under certain preset criteria, use a certain document). Of
course, templates may, under certain circumstances have fixed control information and not
provide for user selections or parameter data entry.
Support plural, different control models regulating the use and/or auditing of either
20 the same specific copy of electronic information content and/or differently regulating
different copies (occurrences) of the same electronic information content. Differing models
for billing, auditing, and security can be applied to the same piece of electronic information
content and such differing sets of control information may employ, for control purposes, the
same, or differing, granularities of electronic information control increments. This includes
25 supporting variable control information for budgeting and auditing usage as applied to a
variety of predefined increments of electronic information, including employing a variety of
different budgets and/or metering increments for a given electronic information deliverable
for: billing units of measure, credit limit, security budget limit and security content
metering increments, and/or market surveying and customer profiling content metering
30 increments. For example, a CD-ROM disk with a database of scientific articles might be in
part billed according to a formula based on the number of bytes decrypted, number of
articles containing said bytes decrypted, while a security budget might limit the use of said
database to no more than 5% of the database per month for users on the wide area network
it is installed on.
35 Provide mechanisms to persistently maintain trusted content usage and reporting
control information through both a sufficiently secure chain of handling of content and
content control information and through various forms of usage of such content wherein
said persistence of control may survive such use. Persistence of control includes the ability
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to extract information from a WAF container object by creating a new container whose
contents are at least in part secured and that contains both the extracted content and at least
a portion of the control information which control information of the original container
and/or are at least in part produced by control information of the original container for this
5 purpose and/or WAF installation control information stipulates should persist and/or
control usage of content in the newly formed container. Such control information can
continue to manage usage of container content if the container is "embedded" into another
WAF managed object, such as an object which contains plural embedded WAF containers,
each of which contains content derived (extracted) from a different source.
10 Enables users, other value chain participants (such as clearinghouses and
government agencies), and/or user organizations, to specify preferences or requirements
related to their use of electronic content and/or appliances. Content users, such as end-user
customers using commercially distributed content (games, information resources, software
programs, etc.), can define, if allowed by senior control information, budgets, and/or other
15 control information, to manage their own internal use of content. Uses include, for example,
a user setting a limit on the price for electronic documents that the user is willing to pay
without prior express user authorization, and the user establishing the character of metering
information he or she is willing to allow to be collected (privacy protection). This includes
providing the means for content users to protect the privacy of information derived from
20 their use of a WAF installation and content and/or appliance usage auditing. In particular,
WAF can prevent information related to a participant's usage of electronic content from
being provided to other parties without the participant's tacit or explicit agreement.
Pprovide mechanisms that allow control information to "evolve" and be modified
according, at least in part, to independently, securely delivered further control information.
25 Said control information may include executable code (e.g., load modules) that has been
certified as acceptable (e.g., reliable and trusted) for use with a specific WAF application,
class of applications, and/or a WAF distributed arrangement. This modification (evolution)
of control information can occur upon content control information (load modules and any
associated data) circulating to one or more WAF participants in a pathway of handling of
30 control information, or it may occur upon control information being received from a WAF
participant. Handlers in a pathway of handling of content control information, to the extent
each is authorized, can establish, modify, and/or contribute to, permission, auditing,
payment, and reporting control information related to controlling, analyzing, paying for,
and/or reporting usage of, electronic content and/or appliances (for example, as related to
35 usage of WAF controlled property content). Independently delivered (from an independent
source which is independent except in regards to certification), at least in part secure,
control information can be employed to securely modify content control information when
content control information has flowed from one party to another party in a sequence of
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WAF content control information handling. This modification employs, for example, one or
more WAF component assemblies being securely processed in a WAF secure subsystem. In
an alternate embodiment, control information may be modified by a senior party through
use of their WAF installation secure sub-system after receiving submitted, at least in part
5 secured, control information from a "junior" party, normally in the form of a WAF
administrative object. Control information passing along WAF pathways can represent a
mixed control set, in that it may include: control information that persisted through a
sequence of control information handlers, other control information that was allowed to be
modified, and further control information representing new control information and/or
10 mediating data. Such a control set represents an evolution of control information for
disseminated content. In this example the overall content control set for a WAF content
container is "evolving" as it securely (e.g. communicated in encrypted form and using
authentication and digital signaturing techniques) passes, at least in part, to a new
participant's WAF installation where the proposed control information is securely received
15 and handled. The received control information may be integrated (through use of the
receiving parties' WAF installation secure sub-system) with in-place control information
through a negotiation process involving both control information sets. For example, the
modification, within the secure sub-system of a content provider's WAF installation, of
content control information for a certain WAF content container may have occurred as a
20 result of the incorporation of required control information provided by a financial credit
provider. Said credit provider may have employed their WAF installation to prepare and
securely communicate (directly or indirectly) said required control information to said
content provider. Incorporating said required control information enables a content provider
to allow the credit provider's credit to be employed by a content end-user to compensate for
25 the end-user's use of WAF controlled content and/or appliances, so long as said end-user
has a credit account with said financial credit provider and said credit account has sufficient
credit available. Similarly, control information requiring the payment of taxes and/or the
provision of revenue information resulting from electronic commerce activities may be
securely received by a content provider. This control information may be received, for
30 example, from a government agency. Content providers might be required by law to
incorporate such control information into the control information for commercially
distributed content and/or services related to appliance usage. Proposed control information
is used to an extent allowed by senior control information and as determined by any
negotiation trade-offs that satisfy priorities stipulated by each set (the received set and the
35 proposed set). WAF also accommodates different control schemes specifically applying to
different participants (e.g., individual participants and/or participant classes (types)) in a
network of WAF content handling participants.
Support multiple simultaneous control models for the same content property and/or
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property portion. This allows, for example, for concurrent business activities which are
dependent on electronic commercial product content distribution, such as acquiring detailed
market survey information and/or supporting advertising, both of which can increase
revenue and result in lower content costs to users and greater value to content providers.
5 Such control information and/or overall control models may be applied, as determined or
allowed by control information, in differing manners to different participants in a pathway
of content, reporting, payment, and/or related control information handling. WAF supports
applying different content control information to the same and/or different content and/or
appliance usage related activities, and/or to different parties in a content and/or appliance
10 usage model, such that different parties (or classes of WAF users, for example) are subject
to differing control information managing their use of electronic information content. For
example, differing control models based on the category of a user as a distributor of a WAF
controlled content object or an end-user of such content may result in different budgets
being applied. Alternatively, for example, a one distributor may have the right to distribute
15 a different array of properties than another distributor (from a common content collection
provided, for example, on optical disc). An individual, and/or a class or other grouping of
end-users, may have different costs (for example, a student, senior citizen, and/or poor
citizen user of content who may be provided with the same or differmg discounts) than a
"typical" content user.
20 Support provider revenue information resulting from customer use of content
and/or appliances, and/or provider and/or end-user payment of taxes, through the transfer
of credit and/or electronic currency from said end-user and/or provider to a government
agency, might occur "automatically" as a result of such received control information
causing the generation of a WAF content container whose content includes customer
25 content usage information reflecting secure, trusted revenue summary information and/or
detailed user transaction listings (level of detail might depend, for example on type or size
of transaction — information regarding a bank interest payment to a customer or a transfer
of a large (e.g. over $10,000) might be, by law, automatically reported to the government).
Such summary and/or detailed information related to taxable events and/or currency, and/or
30 creditor currency transfer, may be passed along a pathway of reporting and/or payment to
the government in a WAF container. Such a container may also be used for other WAF
related content usage reporting information.
Support the flowing of content control information through different "branches" of
content control information handling so as to accommodate, under the present invention's
35 preferred embodiment, diverse controlled distributions of WAF controlled content. This
allows different parties to employ the same initial electronic content with differing (perhaps
competitive) control strategies. In this instance, a party who first placed control information
on content can make certain control assumptions and these assumptions would evolve into
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more specific and/or extensive control assumptions. These control assumptions can evolve
during the branching sequence upon content model participants submitting control
information changes, for example, for use in "negotiating" with "in place" content control
information. This can result in new or modified content control information and/or it might
involve the selection of certain one or more already "in-place" content usage control
methods over in-place alternative methods, as well as the submission of relevant control
information parameter data. This form of evolution of different control information sets
applied to different copies of the same electronic property content and/or appliance results
from WAF control information flowing "down" through different branches in an overall
pathway of handling and control and being modified differently as it diverges down these
different pathway branches. This ability of the present invention to support multiple
pathway branches for the flow of both WAF content control information and WAF
managed content enables an electronic commerce marketplace which supports diverging,
competitive business partnerships, agreements, and evolving overall business models which
can employ the same content properties combined, for example, in differing collections of
content representing differing at least in part competitive products.
Enable a user to securely extract, through the use of the secure subsystem at the
user's WAF installation, at least a portion of the content included within a WAF content
container to produce a new, secure object (content container), such that the extracted
information is maintained in a continually secure manner through the extraction process.
Formation of the new WAF container containing such extracted content shall result in
control information consistent with, or specified by, the source WAF content container,
and/or local WAF installation secure subsystem as appropriate, content control information.
Relevant control information, such as security and administrative information, derived, at
least in part, from the parent (source) object's control information, will normally be
automatically inserted into a new WAF content contamer object containing extracted WAF
content. This process typically occurs under the control framework of a parent object and/or
WAF installation control information executing at the user's WAF installation secure
subsystem (with, for example, at least a portion of this inserted control information being
stored securely in encrypted form in one or more permissions records). In an alternative
embodiment, the derived content control information applied to extracted content may be in
part or whole derived from, or employ, content control information stored remotely from
the WAF installation that performed the secure extraction such as at a remote server
location. As with the content control information for most WAF managed content, features
of the present invention allows the content's control information to:
(a) "evolve," for example, the extractor of content may add new control methods
and/or modify control parameter data, such as WAF application compliant methods, to the
extent allowed by the content's in-place control information. Such new control information
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might specify, for example, who may use at least a portion of the new object, and/or how
said at least a portion of said extracted content may be used (e.g. when at least a portion
may be used, or what portion or quantity of portions may be used);
(b) allow a user to combine additional content with at least a portion of said
5 extracted content, such as material authored by the extractor and/or content (for example,
images, video, audio, and/or text) extracted from one or more other WAF container objects
for placement directly into the new container;
(c) allow a user to securely edit at least a portion of said content while maintaining
said content in a secure form within said WAF content container;
10 (d) append extracted content to a pre-existing WAF content container object and
attach associated control information — in these cases, user added information may be
secured, e.g., encrypted, in part or as a whole, and may be subject to usage and/or auditing
control information that differs from the those applied to previously in place object content;
(e) preserve WAF control over one or more portions of extracted content after
15 various forms of usage of said portions, for example, maintain content in securely stored
form while allowing "temporary" on screen display of content or allowing a software
program to be maintained in secure form but transiently decrypt any encrypted executing
portion of said program (all, or only a portion, of said program may be encrypted to secure
the program).
20 Generally, the extraction features of the present invention allow users to aggregate
and/or disseminate and/or otherwise use protected electronic content information extracted
from content container sources while maintaining secure WAF capabilities thus preserving
the rights of providers in said content information after various content usage processes.
Support the aggregation of portions of WAF controlled content, such portions
25 being subject to differing WAF content container control information, wherein various of
said portions may have been provided by independent, different content providers from one
or more different locations remote to the user performing the aggregation. Such
aggregation, in the preferred embodiment of the present invention, may involve preserving
at least a portion of the control information (e.g., executable code such as load modules) for
30 each of various of said portions by, for example, embedding some or all of such portions
individually as WAF content container objects within an overall WAF content container
and/or embedding some or all of such portions directly into a WAF content container. In the
latter case, content control information of said content container may apply differing
control information sets to various of such portions based upon said portions original
35 control information requirements before aggregation. Each of such embedded WAF content
containers may have its own control information in the form of one or more permissions
records. Alternatively, a negotiation between control information associated with various
aggregated portions of electronic content, may produce a control information set that would
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govern some or all of the aggregated content portions. The WAF content control
information produced by the negotiation may be uniform (such as having the same load
modules and/or component assemblies, and/or it may apply differing such content control
information to two or more portions that constitute an aggregation of WAF controlled
5 content such as differing metering, budgeting, billing and/or payment models. For example,
content usage payment may be automatically made, either through a clearinghouse, or
directly, to different content providers for different potions.
Enable flexible metering of, or other collection of information related to, use of
electronic content and/or electronic appliances. A feature of the present invention enables
10 such flexibility of metering control mechanisms to accommodate a simultaneous, broad
array of: (a) different parameters related to electronic information content use; (b) different
increment units (bytes, documents, properties, paragraphs, images, etc.) and/or other
organizations of such electronic content; and/or (c) different categories of user and/or WAF
installation types, such as client organizations, departments, projects, networks, and/or
15 individual users, etc. This feature of the present invention can be employed for content
security, usage analysis (for example, market surveying), and/or compensation based upon
the use and/or exposure to WAF managed content. Such metering is a flexible basis for
ensuring payment for content royaUies, licensing, purchasing, and/or advertising. A feature
of the present invention provides for payment means supporting flexible electronic currency
20 and credit mechanisms, including the ability to securely maintain audit trails reflecting
information related to use of such currency or credit. WAF supports multiple differing
hierarchies of client organization control information wherein an organization client
administrator distributes control information specifying the usage rights of departments,
users, and/or projects. Likewise, a department (division) network manager can function as a
25 distributor (budgets, access rights, etc.) for department networks, projects, and/or users, etc.
Provide scalable, integratable, standardized control means for use on electronic
appliances ranging from inexpensive consumer (for example, television set-top appliances)
and professional devices (and hand-held PDAs) to servers, mainframes, communication
switches, etc. The scalable transaction management/auditing technology of the present
30 invention will result in more efficient and reliable interoperability amongst devices
functioning in electronic commerce and/or data security environments. As standardized
physical containers have become essential to the shipping of physical goods around the
world, allowing these physical containers to universally "fit" unloading equipment,
efficiently use truck and train space, and accommodate known arrays of objects (for
35 example, boxes) in an efficient manner, so WAF electronic content containers may, as
provided by the present invention, be able to efficiently move electronic information
content (such as commercially published properties, electronic currency and credit, and
content audit information), and associated content control information, around the world.
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Interoperability is fundamental to efficient electronic commerce. The design of the WAF
foundation, WAF load modules, and WAF containers, are important features that enable the
WAF node operating environment to be compatible with a very broad range of electronic
appliances. The abiUty, for example, for control methods based on load modules to execute
in very "small" and inexpensive secure sub-system environments, such as environments
with very little read/write memory, while also being able to execute in large memory sub-
systems that may be used in more expensive electronic appliances, supports consistency
across many machines. This consistent WAF operating environment, including its control
structures and container architecture, enables the use of standardized WAF content
containers across a broad range of device types and host operating environments. Since
WAF capabilities can be seamlessly integrated as extensions, additions, and/or
modifications to fundamental capabilities of electronic appliances and host operating
systems, WAF containers, content control information, and the WAF foundation will be
able to work with many device types and these device types will be able to consistently and
efficiently interpret and enforce WAF control information. Through this integration users
can also benefit from a transparent interaction with many of the capabilities of WAF. WAF
integration with software operating on a host electronic appliance supports a variety of
capabilities that would be unavailable or less secure without such integration. Through
integration with one or more device applications and/or device operating environments,
many capabilities of the present invention can be presented as inherent capabilities of a
given electronic appliance, operating system, or appliance application. For example,
features of the present invention include: (a) WAF system software to in part extend and/or
modify host operating systems such that they possesses WAF capabilities, such as enabling
secure transaction processing and electronic information storage; (b) one or more
application programs that in part represent tools associated with WAF operation; and/or (c)
code to be integrated into application programs, wherein such code incorporates references
into WAF system software to integrate WAF capabilities and makes such applications
WAF aware (for example, word processors, database retrieval applications, spreadsheets,
multimedia presentation authoring tools, film editing software, music editing software such
as MIDI applications and the like, robotics control systems such as those associated with
CAD/CAM environments and NCM software and the like, electronic mail systems,
teleconferencing software, and other data authoring, creating, handling, and/or usage
applications including combinations of the above). These one or more features (which may
also be implemented in firmware or hardware) may be employed in conjunction with a
WAF node secure hardware processing capability, such as a microcontroller(s),
microprocessor(s), other CPU(s) or other digital processing logic.
Employ audit reconciliation and usage pattern evaluation processes that assess,
through certain, normally network based, transaction processing reconciliation and
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threshold checking activities, whether certain violations of security of a WAF arrangement
have occurred. These processes are performed remote to WAF controlled content end— user
WAF locations by assessing, for example, purchases, and/or requests, for electronic
properties by a given WAF installation. Applications for such reconciliation activities
5 include assessing whether the quantity of remotely delivered WAF controlled content
corresponds to the amount of financial credit and/or electronic currency employed for the
use of such content. A trusted organization can acquire information from content providers
concerning the cost for content provided to a given WAF installation and/or user and
compare this cost for content with the credit and/or electronic currency disbursements for
10 that installation and/or user. Inconsistencies in the amount of content delivered versus the
amount of disbursement can prove, and/or indicate, depending on the circumstances,
whether the local WAF installation has been, at least to some degree, compromised (for
example, certain important system security functions, such as breaking encryption for at
least some portion of the secure subsystem and/or WAF controlled content by uncovering
15 one or more keys). Determining whether irregular patterns (e.g. unusually high demand) of
content usage, or requests for delivery of certain kinds of WAF controlled information
during a certain time period by one or more WAF installations and/or users (including, for
example, groups of related users whose aggregate pattern of usage is suspicious) may also
be useful in determining whether security at such one or more installations, and/or by such
20 one or more users, has been compromised, particularly when used in combination with an
assessment of electronic credit and/or currency provided to one or more WAF users and/or
installations, by some or all of their credit and/or currency suppliers, compared with the
disbursements made by such users and/or installations.
Support security techniques that materially increase the time required to "break" a
25 system's integrity. This includes using a collection of techniques that minimizes the damage
resulting from comprising some aspect of the security features of the present inventions.
Provide a family of authoring, administrative, reporting, payment, and billing tool
user applications that comprise components of the present invention's trusted/secure,
universe wide, distributed transaction control and administration system. These components
30 support WAF related: object creation (including placing control information on content),
secure object distribution and management (including distribution control information,
financial related, and other usage analysis), client internal WAF activities administration
and control, security management, user interfaces, payment disbursement, and
clearinghouse related functions. These components are designed to support highly secure,
35 uniform, consistent, and standardized: electronic commerce and/or data security pathway(s)
of handling, reporting, and/or payment; content control and administration; and human
factors (e.g. user interfaces).
Support the operation of a plurality of clearinghouses, including, for example, both
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financial and user clearinghouse activities, such as those performed by a client
administrator in a large organization to assist in the organization's use of a WAF
arrangement, including usage information analysis, and control of WAF activities by
individuals and groups of employees such as specifying budgets and the character of usage
5 rights available under WAF for certain groups of and/or individual, client personnel,
subject to control information series to control information submitted by the client
administrator. At a clearinghouse, one or more WAF installations may operate together
with a trusted distributed database environment (which may include concurrent database
processing means). A financial clearinghouse normally receives at its location securely
10 delivered content usage information, and user requests (such as requests for further credit,
electronic currency, and/or higher credit limit). Reporting of usage information and user
requests can be used for supporting electronic currency, billing, payment and credit related
activities, and/or for user profile analysis and/or broader market survey analysis and
marketing (consolidated) list generation or other information derived, at least in part, from
15 said usage information, this information can be provided to content providers or other
parties, through secure, authenticated encrypted communication to the WAF installation
secure subsystems. Clearinghouse processing means would normally be connected to
specialized I/O means, which may include high speed telecommunication switching means
that may be used for secure communications between a clearinghouse and other WAF
20 pathway participants.
Securely support electronic currency and credit usage control, storage, and
communication at, and between, WAF installations. WAF further supports automated
passing of electronic currency and/or credit information, including payment tokens (such as
in the form of electronic currency or credit) or other payment information, through a
25 pathway of payment, which said pathway may or may not be the same as a pathway for
content usage information reporting. Such payment may be placed into a WAF container
created automatically by a WAF installation in response to control information stipulating
the "withdrawal" of credit or electronic currency from an electronic credit or currency
account based upon an amount owed resulting from usage of WAF controlled electronic
30 content and/or appliances. Payment credit or currency may then be automatically
communicated in protected (at least in part encrypted) form through telecommunication of a
WAF container to an appropriate party such as a clearinghouse, provider of original
property content or appliance, or an agent for such provider (other than a clearinghouse).
Payment information may be packaged in said WAF content container with, or without,
35 related content usage information, such as metering information. An aspect of the present
invention further enables certain information regarding currency use to be specified as
unavailable to certain, some, or all WAF parties ("conditionally" to fiilly anonymous
currency) and/or further can regulate certain content information, such as currency and/or
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credit use related information (and/or other electronic information usage data) to be
available only under certain strict circumstances, such as a court order (which may itself
require authorization through the use of a court controlled WAF installation that may be
required to securely access "conditionally" anonymous information). Currency and credit
5 information, under the preferred embodiment of the present invention, is treated as
administrative content;
Support fingerprinting (also known as watermarking) for embedding in content
such that when content protected under the present invention is released in clear form from
a WAF object (displayed, printed, communicated, extracted, and/or saved), information
10 representing the identification of the user and/or WAF installation responsible for
transforming the content into clear form is embedded into the released content.
Fingerprinting is useful in providing an ability to identify who extracted information in
clear form a WAF container, or who made a copy of a WAF object or a portion of its
contents. Since the identity of the user and/or other identifying information may be
15 embedded in an obscure or generally concealed manner, in WAF container content and/or
control information, potential copyright violators may be deterred from unauthorized
extraction or copying. Fingerprinting normally is embedded into unencrypted electronic
content or control information, though it can be embedded into encrypted content and later
placed in unencrypted content in a secure WAF installation sub-system as the encrypted
20 content carrying the fingerprinting information is decrypted. Electronic information, such as
the content of a WAF container, may be fingerprinted as it leaves a network (such as
Internet) location bound for a receiving party. Such repository information may be
maintained in unencrypted form prior to communication and be encrypted as it leaves the
repository. Fingerprinting would preferably take place as the content leaves the repository,
25 but before the encryption step. Encrypted repository content can be decrypted, for example
in a secure WAF sub-system, fingerprint information can be inserted, and then the content
can be re-encrypted for transmission. Embedding identification information of the intended
recipient user and/or WAF installation into content as it leaves, for example, an Internet
repository, would provide important information that would identify or assist in identifying
30 any party that managed to compromise the security of a WAF installation or the delivered
content. If a party produces an authorized clear form copy of WAF controlled content,
including making unauthorized copies of an authorized clear form copy, fingerprint
information would point back to that individual and/or his or her WAF installation. Such
hidden information will act as a strong disincentive that should dissuade a substantial
35 portion of potential content "pirates" from stealing other parties electronic information.
Fingerprint information identifying a receiving party and/or WAF installation can be
embedded into a WAF object before, or during, decryption, replication, or communication
of WAF content objects to receivers. Fingerprinting electronic content before it is encrypted
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for transfer to a customer or other user provides information that can be very useful for
identifying who received certain content which may have then been distributed or made
available in unencrypted form. This information would be useful in tracking who may have
"broken" the security of a WAF installation and was illegally making certain electronic
5 content available to others. Fingerprinting may provide additional, available information
such as time and/or date of the release (for example extraction) of said content information.
Locations for inserting fingerprints may be specified by WAF installation and/or content
container control information. This information may specify that certain areas and/or
precise locations within properties should be used for fingerprinting, such as one or more
10 certain fields of information or information types. Fingerprinting information may be
incorporated into a property by modifying in a normally undetectable way color frequency
and/or the brightness of certain image pixels, by slightly modifying certain audio signals as
to frequency, by modifying font character formation, etc. Fingerprint information, itself,
should be encrypted so as to make it particularly difficult for tampered fingerprints to be
15 interpreted as valid. Variations in fingerprint locations for different copies of the same
property; "false" fingerprint information; and multiple copies of fingerprint information
within a specific property or other content which copies employ different fingerprinting
techniques such as information distribution patterns, frequency and/or brightness
manipulation, and encryption related techniques, are features of the present invention for
20 increasing the difficulty of an unauthorized individual identifying fingerprint locations and
erasing and/or modifying fingerprint information.
Provide smart object agents that can carry requests, data, and/or methods, including
budgets, authorizations, credit or currency, and content. For example, smart objects may
travel to and/or from remote information resource locations and fulfill requests for
25 electronic information content. Smart objects can, for example, be transmitted to a remote
location to perform a specified database search on behalf of a user or otherwise
"intelligently" search remote one or more repositories of information for user desired
information. After identifying desired information at one or more remote locations, by for
example, performing one or more database searches, a smart object may return via
30 communication to the user in the form of a secure "return object" containing retrieved
information. A user may be charged for the remote retrieving of information, the returning
of information to the user's WAF installation, and/or the use of such information. In the
latter case, a user may be charged only for the information in the return object that the user
actually uses. Smart objects may have the means to request use of one or more services
35 and/or resources. Services include locating other services and/or resources such as
information resources, language or format translation, processing, credit (or additional
credit) authorization, etc. Resources include reference databases, networks, high powered or
specialized computing resources (the smart object may carry information to another
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computer to be efficiently processed and then return the information to the sending WAF
installation), remote object repositories, etc. Smart objects can make efficient use of remote
resources (e.g. centralized databases, super computers, etc.) while providing a secure means
for charging users based on information and/or resources actually used.
5 Support both "translations" of WAF electronic agreements elements into modem
language printed agreement elements (such as English language agreements) and
translations of electronic rights protection/transaction management modern language
agreement elements to electronic WAF agreement elements. This feature requires
maintaining a library of textual language that corresponds to WAF load modules and/or
10 methods and/or component assemblies. As WAF methods are proposed and/or employed
for WAF agreements, a listing of textual terms and conditions can be produced by a WAF
user application which, in a preferred embodiment, provides phrases, sentences and/or
paragraphs that have been stored and correspond to said methods and/or assemblies. This
feature preferably employs artificial intelligence capabilities to analyze and automatically
15 determine, and/or assist one or more users to determine, the proper order and relationship
between the library elements corresponding to the chosen methods and/or assemblies so as
to compose some or all portions of a legal or descriptive document. One or more users,
and/or preferably an attorney (if the document a legal, binding agreement), would review
the generated document material upon completion and employ such additional textual
20 information and/or editing as necessary to describe non electronic transaction elements of
the agreement and make any other improvements that may be necessary. These features
further support employing modern language tools that allow one or more users to make
selections from choices and provide answers to questions and to produce a WAF electronic
agreement from such a process. This process can be interactive and the WAF agreement
25 formulation process may employ artificial intelligence expert system technology that learns
from responses and, where appropriate and based at least in part on said responses, provides
further choices and/or questions which "evolves" the desired WAF electronic agreement.
Support the use of multiple WAF secure subsystems in a single WAF installation.
Various security and/or performance advantages may be realized by employing a distributed
30 WAF design within a single WAF installation. For example, designing a hardware based
WAF secure subsystem into an electronic appliance WAF display device, and designing
said subsystem's integration with said display device so that it is as close as possible to the
point of display, will increase the security for video materials by making it materially more
difficult to "steal" decrypted video information as it moves from outside to inside the video
35 system. Ideally, for example, a WAF secure hardware module would be in the same
physical package as the actual display monitor, such as within the packaging of a video
monitor or other display device, and such device would be designed, to the extent
commercially practical, to be as tamper resistant as reasonable. As another example,
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embedding a WAF hardware module into an I/O peripheral may have certain advantages
from the standpoint of overall system throughput. If multiple WAF instances are employed
within the same WAF installation, these instances will ideally share resources to the extent
practical, such as WAF instances storing certain control information and content and/or
5 appliance usage information on the same mass storage device and in the same WAF
management database.
Requiring reporting and payment compliance by employing exhaustion of budgets
and time ageing of keys. For example, a WAF commercial arrangement and associated
content control information may involve a content provider's content and the use of
10 clearinghouse credit for payment for end— user usage of said content Control information
regarding said arrangement may be delivered to a user's (of said content) WAF installation
and/or said financial clearinghouse's WAF installation. Said control information might
require said clearinghouse to prepare and telecommunicate to said content provider both
content usage based information in a certain form, and content usage payment in the form
15 of electronic credit (such credit might be "owned" by the provider after receipt and used in
lieu of the availability or adequacy of electronic currency) and/or electronic currency. This
delivery of information and payment may employ trusted WAF installation secure
subsystems to securely, and in some embodiments, automatically, provide in the manner
specified by said control information, said usage information and payment content. Features
20 of the present invention help ensure that a requirement that a clearinghouse report such
usage information and payment content will be observed. For example, if one participant to
a WAF electronic agreement fails to observe such information reporting and/or paying
obligation, another participant can stop the delinquent party from successfully participating
in WAF activities related to such agreement. For example, if required usage information
25 and payment was not reported as specified by content control information, the "injured"
party can fail to provide, through failing to securely communicate from his WAF
installation secure subsystem, one or more pieces of secure information necessary for the
continuance of one or more critical processes. For example, failure to report information
and/or payment from a clearinghouse to a content provider (as well as any security failures
30 or other disturbing irregularities) can result in the content provider not providing key and/or
budget refresh information to the clearinghouse, which information can be necessary to
authorize use of the clearinghouse's credit for usage of the provider's content and which the
clearinghouse would communicate to end-user's during a content usage reporting
communication between the clearinghouse and end-user. As another example, a distributor
35 that failed to make payments and/or report usage information to a content provider might
find that their budget for creating permissions records to distribute the content provider's
content to users, and/or a security budget limiting one or more other aspect of their use of
the provider's content, are not being refreshed by the content provider, once exhausted or
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timed-out (for example, at a predetermined date). In these and other cases, the offended
party might decide not to refresh time ageing keys that had "aged out." Such a use of time
aged keys has a similar impact as failing to refresh budgets or time-aged authorizations.
Support smart card implementations of the present invention in the form of portable
5 electronic appliances, including cards that can be employed as secure credit, banking,
and/or money cards. A feature of the present invention is the use of portable WAFs as
transaction cards at retail and other establishments, wherein such cards can "dock" with an
establishment terminal that has a WAF secure sub-system and/or an online connection to a
WAF secure and/or otherwise secure and compatible subsystem, such as a "trusted"
10 financial clearinghouse (e.g., VISA, Mastercard). The WAF card and the terminal (and/or
online connection) can securely exchange information related to a transaction, with credit
and/or electronic currency being transferred to a merchant and/or clearinghouse and
transaction information flowing back to the card. Such a card can be used for transaction
activities of all sorts. A docking station, such as a PCMCIA connector on an electronic
15 appliance, such as a personal computer, can receive a consumer's WAF card at home. Such
a station/card combination can be used for on-line transactions in the same manner as a
WAF installation that is permanently installed in such an electronic appliance. The card can
be used as an "electronic wallet" and contain electronic currency as well as credit provided
by a clearinghouse. The card can act as a convergence point for financial activities of a
20. consumer regarding many, if not all, merchant, banking, and on-line financial transactions,
including supporting home banking activities. A consumer can receive his paycheck and/or
investment earnings and/or "authentic" WAF content container secured detailed
information on such receipts, through on-line connections. A user can send digital currency
to another party with a WAF arrangement, including giving away such currency. A WAF
25 card can retain details of transactions in a highly secure and database organized fashion so
that financially related information is both consolidated and very easily retrieved and/or
analyzed. Because of the WAF security, including use of effective encryption,
authentication, digital signaturing, and secure database structures, the records contained
within a WAF card arrangement may be accepted as valid transaction records for
30 government and/or corporate recordkeeping requirements. In some embodiments of the
present invention a WAF card may employ docking station and/or electronic appliance
storage means and/or share other WAF arrangement means local to said appliance and/or
available across a network, to augment the information storage capacity of the WAF card,
by for example, storing dated, and/or archived, backup information. Taxes relating to some
35 or all of an individual's financial activities may be automatically computed based on
"authentic" information securely stored and available to said WAF card. Said information
may be stored in said card, in said docking station, in an associated electronic appliance,
and/or other device operatively attached thereto, and/or remotely, such as at a remote server
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site. A card's data, e.g. transaction history, can be backed up to an individual's personal
computer or other electronic appliance and such an appliance may have an integrated WAF
installation of its own. A current transaction, recent transactions (for redundancy), or all or
other selected card data may be backed up to a remote backup repository, such a WAF
5 compatible repository at a financial clearinghouse, during each or periodic docking for a
financial transaction and/or information communication such as a user/merchant
transaction. Backing up at least the current transaction during a connection with another
party's WAF installation (for example a WAF installation that is also on a financial or
general purpose electronic network), by posting transaction information to a remote
10 clearinghouse and/or bank, can ensure that sufficient backup is conducted to enable
complete reconstruction of WAF card internal information in the event of a card failure or
loss.
Support certification processes that ensure authorized interoperability between
various WAF installations so as to prevent WAF arrangements and/or installations that
15 unacceptably deviate in specification protocols from other WAF arrangements and/or
installations from interoperating in a manner that may introduce security (integrity and/or
confidentiality of WAF secured information), process control, and/or software
compatibility problems. Certification validates the identity of WAF installations and/or
their components, as well as WAF users. Certification data can also serve as information
20 that contributes to determining the decommissioning or other change related to WAF sites.
Support the separation of fundamental transaction control processes through the
use of event (triggered) based method control mechanisms. These event methods trigger one
or more other WAF methods (which are available to a secure WAF sub-system) and are
used to carry out WAF managed transaction related processing. These triggered methods
25 include independently (separably) and securely processable component billing management
methods, budgeting management methods, metering management methods, and related
auditing management processes. As a result of this feature of the present invention,
independent triggering of metering, auditing, billing, and budgeting methods, the present
invention is able to efficiently, concurrently support multiple financial currencies (e.g.
30 dollars, marks, yen) and content related budgets, and/or billing increments as well as very
flexible content distribution models.
Support, complete, modular separation of the control structures related to (1)
content event triggering, (2) auditing, (3) budgeting (including specifying no right of use or
unlimited right of use), (4) billing, and (5) user identity (WAF installation, client name,
35 department, network, and/or user, etc.). The independence of these WAF control structures
provides a flexible system which allows plural relationships between two or more of these
structures, for example, the ability to associate a financial budget with different event
trigger structures (that are put in place to enable controlling content based on its logical
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portions). Without such separation between these basic WAF capabilities, it would be more
difficult to efficiently maintain separate metering, budgeting, identification, and/or billing
activities which involve the same, differing (including overlapping), or entirely different,
portions of content for metering, billing, budgeting, and user identification, for example,
5 paying fees associated with usage of content, performing home banking, managing
advertising services, etc. WAF modular separation of these basic capabilities supports the
programming of plural, "arbitrary" relationships between one or differing content portions
(and/or portion units) and budgeting, auditing, and/or billing control information. For
example, under WAF, a budget limit of $200 dollars or 300 German Marks a month may be
10 enforced for decryption of a certain database and 2 U.S. Dollars or 3 German Marks may be
charged for each record of said database decrypted (depending on user selected currency).
Such usage can be metered while an additional audit for user profile purposes can be
prepared recording the identity of each filed displayed. Additionally, further metering can
be conducted regarding the number of said database bytes that have been decrypted, and a
15 related security budget may prevent the decrypting of more than 5% of the total bytes of
said database per year. The user may also, under WAF (if allowed by senior control
information), collect audit information reflecting usage of database fields by different
individuals and client organization departments and ensure that differing rights of access
and differing budgets limiting database usage can be applied to these client individuals and
20 groups. Enabling content providers and users to practically employ such diverse sets of user
identification, metering, budgeting, and billing control information results, in part, from the
use of such independent control capabilities. As a result, WAF can support great
configurability in creation of plural control models applied to the same electronic property
and the same and/or plural control models applied to differing or entirely different content
25 models (for example, home banking versus electronic shopping).
Secure Processing Units
An important part of WAF provided by the present invention is the core secure
transaction control arrangement, herein called an SPU (or SPUs), that typically must be
present in each user's computer, other electronic appliance, or network. SPUs provide a
30 trusted environment for generating decryption keys, encrypting and decrypting information,
managing the secure communication of keys and other information between electronic
appliances (i.e. between WAF installations and/or between plural WAF instances within a
single WAF installation), securely accumulating and managing audit trail, reporting, and
budget information in secure and/or non-secure non-volatile memory, maintaining a secure
35 database of control information management instructions, and providing a secure
environment for performing certain other control and administrative functions.
A hardware SPU (rather than a software emulation) within a WAF node is
necessary if a highly trusted environment for performing certain WAF activities is required.
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Such a trusted environment may be created through the use of certain control software, one
or more tamper resistant hardware modules such as a semiconductor or semiconductor
chipset (including, for example, a tamper resistant hardware electronic appliance peripheral
device), for use within, and/or operatively connected to, an electronic appliance. With the
5 present invention, the trustedness of a hardware SPU can be enhanced by enclosing some or
all of its hardware elements within tamper resistant packaging and/or by employing other
tamper resisting techniques (e.g. microfusing and/or thin wire detection techniques). A
trusted environment of the present invention implemented, in part, through the use of
tamper resistant semiconductor design, contains control logic, such as a microprocessor,
10 that securely executes WAF processes.
A WAF node's hardware SPU is a core component of a WAF secure subsystem and
may employ some or all of an electronic appliance's primary control logic, such as a
microcontroller, microcomputer or other CPU arrangement. This primary control logic may
be otherwise employed for non WAF purposes such as the control of some or all of an
15 electronic appliance's non-WAF functions. When operating in a hardware SPU mode, said
primary control logic must be sufficiently secure so as to protect and conceal important
WAF processes. For example, a hardware SPU may employ a host electronic appliance
microcomputer operating in protected mode while performing WAF related activities, thus
allowing portions of WAF processes to execute with a certain degree of security. This
20 alternate embodiment is in contrast to the preferred embodiment wherein a trusted
environment is created using a combination of one or more tamper resistant semiconductors
that are not part of said primary control logic. In either embodiment, certain control
information (software and parameter data) must be securely maintained within the SPU, and
fiirther control information can be stored externally and securely (e.g. in encrypted and
25 tagged form) and loaded into said hardware SPU when needed. In many cases, and in
particular with microcomputers, the preferred embodiment approach of employing special
purpose secure hardware for executing said WAF processes, rather than using said primary
control logic, may be more secure and efficient. The level of security and tamper resistance
required for trusted SPU hardware processes depends on the commercial requirements of
30 particular markets or market niches, and may vary widely.
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CLAIMS
What is claimed is:
1. A method for effectively conveying which components of a system are required for
5 implementation comprising the steps of:
(a) displaying a pictorial representation of a system including a plurality of
components; and
(b) indicia coding the components of the system in order to indicate required
components for implementation.
10
2. A method for effectively conveying which components of a system are required for
implementation as recited in claim 1 , wherein the indicia coding indicates an order in which
the components of the system is to be implemented.
15 3. A method for effectively conveying which components of a system are required for
implementation as recited in claim 1, wherein the indicia coding indicates a phase in which
the components of the system is to be implemented.
4. A method for effectively conveying which components of a system are required for
20 implementation as recited in claim 1, wherein the components of the system are indicia
coded in order to indicate which components are required for the implementation of
technology using the system.
5. A method for effectively conveying which components of a system are required for
25 implementation as recited in claim 1, wherein the components of the system are selected
from the group of components including security services, network services, web services,
client services, integration capabilities, data services, directory services, management
services, operation services, and developer services.
30 6. A method for effectively conveying which components of a system are required for
implementation as recited in claim 1, wherein the components of the system are selected
from the group of components including commerce-related services, content-related
services, administration-related services, customeMelated services, and education-related
services.
35
7. A method for effectively conveying which components of a system are required for
implementation as recited in claim 1, wherein the indicia coding is selected from the group
of indicia coding including texture coding, color coding, and shading coding.
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8. A method for effectively conveying which components of a system are required for
implementation as recited in claim 1 , wherein the system is a web architecture framework,
5 9. A method for effectively conveying which components of a system are required for
implementation as recited in claim 1 , wherein a legend is presented which defines the
indicia coding with respect to the components necessary in the implementation.
10. A method for effectively conveying which components of a system are required for
10 implementation as recited in claim 1 , wherein the components of the system are indicia
coded in order to indicate which components are required for the implementation of the
system.
11. A computer program embodied on a computer readable medium for effectively
15 conveying which components of a system are required for implementation comprising:
(a) a code segment that displays a pictorial representation of a system
including a plurality of components; and
(b) a code segment that indicia codes the components of the system in order to
indicate required components for implementation.
20
12. A computer program for effectively conveying which components of a system are
required for implementation as recited in claim 11, wherein the indicia coding indicates an
order in which the components of the system is to be implemented.
25 13. A computer program for effectively conveying which components of a system are
required for implementation as recited in claim 1 1, wherein the indicia coding indicates a
phase in which the components of the system is to be implemented.
14. A computer program for effectively conveying which components of a system are
30 required for implementation as recited in claim 11, wherein the components of the system
are indicia coded in order to indicate which components are required for the
implementation of technology using the system.
15. A computer program for effectively conveying which components of a system are
35 required for implementation as recited in claim 11, wherein the components of the system
are selected from the group of components including security services, network services,
web services, client services, integration capabilities, data services, directory services,
management services, operation services, and developer services.
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1 6. A computer program for effectively conveying which components of a system are
required for implementation as recited in claim 1 1, wherein the components of the system
are selected from the group of components including commerce— related services, content—
5 related services, administration-related services, customer-related services, and education-
related services.
1 7. A computer program for effectively conveying which components of a system are
required for implementation as recited in claim 1 1, wherein the indicia coding is selected
10 from the group of indicia coding including texture coding, color coding, and shading
coding.
18. A computer program for effectively conveying which components of a system are
required for implementation as recited in claim 1 1, wherein the system is a web architecture
15 framework.
19. A computer program for effectively conveying which components of a system are
required for implementation as recited in claim 1 1, wherein a legend is presented which
defines the indicia coding with respect to the components necessary in the implementation.
20
20. A computer program for effectively conveying which components of a system are
required for implementation as recited in claim 1 1, wherein the components of the system
are indicia coded in order to indicate which components are required for the
implementation of the system.
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INDICIA CODING THE COMPONENTS OF THE
SYSTEM IN ORDER TO DEMONSTRATE AT LEAST
ONE OF REDUNDANCY AND OMISSIONS AMONG THE
COMPONENTS OF THE SYSTEM
INDICIA CODING THE COMPONENTS OF THE
SYSTEM IN ORDER TO INDICATE REQUIRED
COMPONENTS FOR THE IMPLEMENTATION OF THE
SYSTEM
INDICIA CODING THE COMPONENTS OF THE
SYSTEM IN ORDER TO INDICATE A PRIORITY OF
IMPLEMENTATION FOR THE COMPONENTS OF THE
SYSTEM
10
DISPLAYING A PICTORIAL REPRESENTATION OF A
SYSTEM INCLUDING A PLURALITY OF COMPONENTS
INDICIA CODING THE COMPONENTS OF THE
SYSTEM IN ORDER TO INDICATE PARTICULAR
PHASES IN WHICH THE COMPONENTS OF THE
SYSTEM ARE DEUVERED
INDICIA CODING THE COMPONENTS OF THE
SYSTEM IN ORDER TO COMPARE A PLURAUTY OF
VENDORS
INDICIA CODING THE COMPONENTS OF THE
SYSTEM IN ORDER TO SERVE AS A SELLING TOOL
INDICIA CODING THE COMPONENTS OF THE
SYSTEM IN ORDER TO DEPICT INFORMATION
RELATING TO AT LEAST ONE OF BUILDING.
MANAGEMENT. AND SUPPORT OF THE SYSTEM
INDICIA CODING THE COMPONENTS OF THE
SYSTEM IN ORDER TO CONVEY INFORMATION
PERTAINING TO WHICH COMPONENTS OF A SYSTEM
PRODUCTS OR SERVICES RELATE
Figure 1A
INDICIA CODING THE COMPONENTS OF THE
SYSTEM IN ORDER TO IDENTIFY ALLIANCES OF A
PLURALITY OF BUSINESS ENTITIES IN COMPONENTS
OF A SYSTEM
INDICIA CODING THE COMPONENTS OF THE
SYSTEM IN ORDER TO CONVEY A MANNER IN WHICH
THE COMPONENTS OF THE SYSTEM ARE TO BE
TESTED
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DETERMINING AT LEAST ONE AREA OF AN EXISTING NETWORK
FRAMEWORK IN WHICH REDUNDANCIES AND OMISSIONS OF BUSINESS
EFFORTS EXIST
31
PRESENTING A PICTORIAL REPRESENTATION OF THE EXISTING
NETWORK FRAMEWORK INCLUDING A PLURALITY OF COMPONENTS
32
HIGHLIGHTING THE REDUNDANCIES AND THE OMISSIONS BY INDICIA
CODING THE COMPONENTS OF THE EXISTING NETWORK THAT RESIDE
IN THE AT LEAST ONE AREA
33
/ Figure 1B
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CREATING A DATABASE WHICH INCLUDES A LISTING OF ALL OF THE
COMPONENTS OF AN AREA OF AN EXISTING NETWORK FRAMEWORK
31a
CREATING A SECOND DATABASE WHICH INCLUDES A LISTING OF ALL
SERVICES PROVIDED BY VENDORS THAT CORRESPOND TO THE
COMPONENTS OF THAT AREA OF THE FRAMEWORK
31b
COMPARING THE LISTING OF THE COMPONENTS WITH THE LISTING OF /
THE VENDOR SERVICES CORRESPONDING TO THOSE COMPONENTS
31c
CREATING A LISTING OF COMPONENTS NOT BEING PROVIDED BY A
VENDOR SERVICE
31d
CREATING A LISTING OF COMPONENTS BEING PROVIDED BY MORE
THAN ONE VENDOR SERVICE
31e
Figure 1B-1
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DISPLAYING A PICTORIAL REPRESENTATION OF A SYSTEM INCLUDING
A PLURALITY OF COMPONENTS
INDICIA CODING THE COMPONENTS OF THE SYSTEM IN ORDER TO
INDICATE REQUIRED COMPONENTS FOR THE IMPLEMENTATION OF
THE SYSTEM
Figure 1C
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CREATING A DATABASE WHICH INCLUDES A LISTING OF ALL OF THE
COMPONENTS OF AN AREA OF AN EXISTING NETWORK FRAMEWORK
CREATING A SECOND DATABASE WHICH INCLUDES A LISTING OF ALL
COMPONENTS NECESSARY TO THE IMPLEMENTATION OF THE SYSTEM
COMPARING THE LISTING OF THE ENTIRE SET OF COMPONENTS WITH
THE LISTING OF THE NECESSARY COMPONENTS
INDICIA CODING ANY COMPONENTS THAT MATCH ON THE PICTORIAL
REPRESENTATION
Figure 1C-1
35
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IDENTIFYING A PRIORITY AMONG A PLURALITY OF COMPONENTS
REQUIRED FOR IMPLEMENTATION OF A PREDETERMINED
TECHNOLOGY USING AN EXISTING NETWORK FRAMEWORK
36
PICTORIALLY REPRESENTING THE EXISTING NETWORK FRAMEWORK
AND THE PLURALITY OF COMPONENTS THEREOF
37
INDICIA CODING A FIRST COMPONENT OF THE EXISTING NETWORK
FRAMEWORK IN ORDER TO INDICATE THAT THE FIRST COMPONENT
MUST BE IMPLEMENTED FIRST
38
INDICIA CODING A SECOND COMPONENT OF THE EXISTING NETWORK
FRAMEWORK IN ORDER TO INDICATE THAT THE SECOND COMPONENT
MUST BE IMPLEMENTED AFTER THE FIRST COMPONENT
39
16
Figure ID
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COMPILING A LISTING OF ALL OF THE COMPONENTS REQUIRED FOR
IMPLEMENTATION OF THE TECHNOLOGY USING AN EXISTING
NETWORK FRAMEWORK
36a
POSITIONING PRIMARY COMPONENTS, WHICH SHOULD OR MUST BE
INSTALLED BEFORE OTHER SECONDARY COMPONENTS WILL
FUNCTION PROPERLY. FORWARD OF THE SECONDARY COMPONENTS
IN THE LISTING
36b
POSITIONING ANY TERTIARY COMPONENTS THAT SHOULD OR MUST
BE INSTALLED AFTER A PARTICULAR SECONDARY COMPONENT
BELOW THE CORRESPONDING SECONDARY COMPONENT ON THE
LISTING
36c
/ Figure 1D-1
36
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DISPLAYING A PICTORIAL REPRESENTATION OF AN EXISTING SYSTEM /
INCLUDING A PLURALITY OF COMPONENTS
40
PRESENTING A FIRST SET OF COMPONENTS THAT ARE TO BE
DELIVERED IN A FIRST PHASE BY INDICIA CODING THE SAME
41
PRESENTING A SECOND SET OF COMPONENTS THAT ARE TO BE
DELIVERED IN A SECOND PHASE BY INDICIA CODING THE SAME IN A
MANNER UNIQUE WITH RESPECT TO THE INDICIA CODING OF THE
FIRST SET OF COMPONENTS
42
Figure 1E
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SELECTING COMPONENTS OF THE SYSTEM TO BE DELIVERED IN THE
FIRST PHASE WHERE THE COMPONENTS ARE REQUIRED TO CREATE
THE BASE FRAMEWORK OF THE SYSTEM
41a
SEPARATING THE REMAINING COMPONENTS INTO PRIMARY AND
SECONDARY COMPONENTS WHERE THE PRIMARY COMPONENTS
MUST BE DELIVERED BEFORE THE SECONDARY COMPONENTS
41b
SELECTING THE PRIMARY COMPONENTS TO BE DELIVERED IN THE
FIRST PHASE
41c
/ Figure 1E-1
41
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DETERMINING A CURRENT NETWORK FRAMEWORK
43
DISPLAYING A GRAPHICAL DEPICTION OF THE CURRENT NETWORK
FRAMEWORK AND A PLURALITY OF COMPONENTS THEREOF
44
PRESENTING A COMPARATIVE ANALYSIS OF AT LEAST TWO VENDORS
OF WEB-BASED PRODUCTS OR SERVICES WITH INDICIA CODING THAT
HIGHLIGHTS ASPECTS OF THE AT LEAST TWO VENDORS
45
Figure 1F
20
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45a
ASSIGNING EACH VENDOR A UNIQUE INDICIA CODING
CREATING A DATABASE THAT INCLUDES ALL OF THE SERVICES OF AT
LEAST TWO VENDORS OF WEB-BASED PRODUCTS OR SERVICES
45b
COMPARING THE SERVICES IN THE DATABASE TO THE COMPONENTS
OF THE NETWORK FRAMEWORK
45c
INDICIA CODING EACH COMPONENT THAT MATCHES A SERVICE
OFFERED BY A VENDOR ON THE GRAPHICAL REPRESENTATION
45cl
Figure 1F-1
45
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DETERMINING AN EXISTING NETWORK FRAMEWORK
DEFINING A PLAN WHICH INCLUDES IMPROVEMENTS TO THE EXISTING
NETWORK FRAMEWORK
DISPLAYING A PICTORIAL REPRESENTATION OF THE EXISTING
NETWORK FRAMEWORK AND A PLURALITY OF COMPONENTS OF THE
EXISTING NETWORK FRAMEWORK
INDICIA CODING THE COMPONENTS OF THE EXISTING NETWORK
FRAMEWORK IN ORDER TO SELL AT LEAST ONE OF PRODUCTS AND
SERVICES RELATING TO THE COMPONENTS OF THE SYSTEM IN
ACCORDANCE WITH THE IMPROVEMENTS
22
Figure 1G
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SELECTING A TARGET MARKET
47a
TAILORING A SALES PROGRAM TO APPEAL TO THE TARGET MARKET
BY SELECTING ONLY SPECIFIC COMPONENTS HAVING PRODUCTS OR
SERVICES LIKELY TO BE PURCHASED BY THE TARGET MARKET
47b
CHOOSING THE PRODUCTS OR SERVICES RELATED TO THE CHOSEN /
COMPONENTS TO BE OFFERED FOR SALE
47c
/ Figure 1G-1
47
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DISPLAYING A PICTORIAL REPRESENTATION OF AN EXISTING SYSTEM
INCLUDING A PLURALITY OF COMPONENTS
PRESENTING INFORMATION RELATING TO BUILDING THE
COMPONENTS OF THE EXISTING SYSTEM BY INDICIA CODING THE
COMPONENTS ON THE PICTORIAL REPRESENTATION
CONVEYING INFORMATION RELATING TO MANAGING THE
COMPONENTS OF THE EXISTING SYSTEM BY INDICIA CODING THE
COMPONENTS ON THE PICTORIAL REPRESENTATION
, 4
PRESENTING INFORMATION RELATING TO SUPPORTING THE
COMPONENTS OF THE EXISTING SYSTEM BY INDICIA CODING THE
COMPONENTS ON THE PICTORIAL REPRESENTATION
24 Figure 1H
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CREATING A DATABASE HAVING THREE AREAS EACH ADAPTED TO /
CONTAIN A GROUP OF COMPONENTS OF THE SYSTEM
51a
SELECTING COMPONENTS OF THE EXISTING SYSTEM THAT ARE USED
FOR BUILDING THE COMPONENTS OF THE SYSTEM AND PLACING
THEM IN A FIRST GROUP OF COMPONENTS IN THE FIRST AREA OF THE
DATABASE
51b
SELECTING COMPONENTS OF THE EXISTING SYSTEM THAT ARE USED
FOR MANAGING THE COMPONENTS OF THE SYSTEM AND PLACING
THEM IN A SECOND GROUP OF COMPONENTS IN THE SECOND AREA
OF THE DATABASE
51c
SELECTING COMPONENTS OF THE EXISTING SYSTEM THAT ARE USED
FOR SUPPORTING THE COMPONENTS OF THE SYSTEM AND PLACING
THEM IN A THIRD GROUP OF COMPONENTS IN THE THIRD AREA OF
THE DATABASE
51d
/ Figure 1 H-1
51
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DETERMINING A PLURALITY OF NETWORK PRODUCTS OR SERVICES
RELATING TO COMPONENTS OF A CURRENT NETWORK FRAMEWORK
PRESENTING THE COMPONENTS OF THE CURRENT NETWORK
FRAMEWORK IN A PICTORIAL REPRESENTATION
IDENTIFYING THE COMPONENTS OF THE CURRENT NETWORK
FRAMEWORK TO WHICH EACH OF THE NETWORK PRODUCTS OR
SERVICES RELATE BY INDICIA CODING THE COMPONENTS
Figure 11
26
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CREATING A FIRST DATABASE IN WHICH SELECTED SERVICES ARE
COMPILED
56a
CREATING A SECOND DATABASE IN WHICH EACH OF THE SERVICES
OFFERED BY THE CURRENT SYSTEM ARE GROUPED BY SYSTEM
COMPONENT
56b
56c
COMPARING THE TWO DATABASES
LISTING THE COMPONENTS WHICH HAVE SERVICES MATCHING THE
SERVICES OF THE FIRST DATABASE
56d
INDICIA CODING THE LISTED COMPONENTS ON THE PICTORIAL /
REPRESENTATION
56e
Figure 1M
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IDENTIFYING AT LEAST ONE ALLIANCE AMONG A PLURALITY OF
BUSINESS ENTITIES IN TERMS OF COMPONENTS OF A CURRENT
NETWORK FRAMEWORK
57
DISPLAYING A PICTORIAL REPRESENTATION OF THE CURRENT
NETWORK FRAMEWORK AND THE COMPONENTS
58
CONVEYING THE AT LEAST ONE ALLIANCE BY INDICIA CODING THE
COMPONENTS OF THE CURRENT NETWORK FRAMEWORK IN WHICH
THE AT LEAST ONE ALLIANCE EXISTS
59
Figure 1J
28
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DISPLAYING A PICTORIAL REPRESENTATION OF AN EXISTING
NETWORK FRAMEWORK INCLUDING A PLURALITY OF COMPONENTS
INDICIA CODING THE COMPONENTS OF THE EXISTING NETWORK
FRAMEWORK IN ORDER TO CONVEY A PLAN BY WHICH THE
COMPONENTS OF THE SYSTEM ARE TO BE TESTED
Figure IK
30
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61a
DEVISING A PLAN FOR TESTING THE SYSTEM
SELECTING A PLURALITY OF COMPONENTS FOR TESTING BASED ON
THE PLAN
61b
INDICIA CODING THE SELECTED COMPONENTS ON THE PICTORIAL
REPRESENTATION
61c
Figure 1K-1
61
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Web Architecture Framework^Base Chart
Security Servic es
SroMiwr B«sad
AuitwntiMtton
Network Services
W«b ContfHit CacMne
-RSmamsEasi-
S«vtoM
Internet Services
FB* Transfer SwviCM
(FTP)
inMflacs Pfotoools
CGl/WS*PI/tSAPt
Client Services
Web Application Services
Product Details / Spoct
Product ConAgurBtor
l(WisacbonPn>catei(
Contant Chamwte
Discussion Forums
Manao^bmailHacwpll
ft De»<ary (ifOound
UynancKflfidenng
PAOs
Rwtettofiship Mflmt
Utor Profla Mgn«
<Act»M PraMng}
Admlnlstratfvft
& Miscellaneous
Content MgmtS
Contsm Minagamanl
Conltnt WnUlkw
TMUng Tools
Tazl-on»y Randnina
CvricxAjni CeinriTinn
Mvk«tin0Colaioral
Product Rafltstrailon
Support / KncMftadoe
SmicTi / Dimnostlea
Lreale & Manage
Sorvioa Cases /
ConsuWna Folkw»-up
unarwSMipon
(Cal Centar Telephony
ProactM Seivice
•Consuhrtgaemces.'
LitsraliAAPaiiner
Common Web Services
Data Services
JfdpaiVlniegraban
~ - • ((Content,
Seles Fmm MnaQniior
Directory Services
Validation. Managenwil
Manaoemert. ft Slorao*
& Storage ol Base ProMi
ofNefHwfcOti^Oats
Data
Assignment ol User
Management & Operations
Ucaee-<crter9»4iecic;
Community ft Rote
Contigurabon
Managemem
Rsdundancy / BacMi
Staging
WMA(Ki.Mmm
Web Developer Services
wed AppiicIIion
Dewotapment Tools
(scripttnfl and codinq)
Wri>ai»^l«
Uwq looU
eeftM
Debugging Utiiiiies
RavisiQA Control
Figure 1L
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v-_, .
ARRANGING EACH OF THE PRIMARY COMPONENTS OF THE SYSTEM
FOR DISPLAY
GROUPING PRIMARY COMPONENTS UNDER DESCRIPTIVE HEADINGS
POSITIONING EACH SET OF SECONDARY COMPONENTS TOWARDS OR
OVER EACH OF THE PRIMARY COMPONENTS IN SUCH A MANNER THAT
A VIEWER WOULD VISUALLY ASSOCIATE A GROUP OF SECONDARY
COMPONENTS WITH THE PROPER PRIMARY COMPONENT
PROVIDING A LEGEND TO PROVIDE REFERENCE AS TO WHAT THE
INDICIA CODING REPRESENTS
DISPLAYING THE COMPONENTS AND LEGEND
Figure 1L-1
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Web Architecture Frameworl^ft'oday's Envirohrtient
Legend
Security Service s
lii
Network
Internet Services
^^^^^
CammuwMMVM - SSL
tntarfaoB^vtacais 1
SUi»a S«ss<on
MwiagtMicnt
CGI/NSAPI/ISAPI 1
Client Servic
Coffltnon Intomat
Web Application
Cofitsnt Chsnnsls
Chat CapabiOtlas
(Raal-dma)
Push Tschnology
Capotimies
QanaratA Coonlinaiad /
Tai^jatad Massagas
(outtMund email)
uynamib Honasnn^
(tdmplata bassd
DubOshina)
Customar
Relatlonfthlp Mgmt
OynMUalyFadUlaia
Contarn Mgmt
Piibiishlnfl Service*
T«xt-oniy Rondailna
Rogistar tor training/
Oid«f Trtdntng
W«bCust<Mner Service
UnhnA Ui4>port
(Con CenlorTal«pr\ony
Common Web Services
lntB0nilfln C^pAbllltles
RniooWs UttBQnilan
ERP IniaoMlfin
Csl CiMf IntaBrelfon
Directory Services
a Storaga of Baso
Community Daia
iUlanagement & Operations
Web Developer Services
WabApffleaii
Dobug^LRHI
Figure
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PCT/USOO/14457
Web Architecture Frameworf^ppore Commerce Capabilities
31
Security Services
Network Services
N«lWDfk OUaa Memt
H«nial« Aocaaa
Sttrvfoes
(RAOIUSI
OuKtty of Swvics
(banduKidSi)
Hnnwail Sarvios
Internet Services
HTTP- Pago
RIs Trsnslar Satvloss
(FTP)
Client Service!
Web Application
(pradueH a saiwicaa)
Oidar PlaeMnafti
Tax&SMpping
' I rartUdiM Hnicassnd
C«)^tl«4(ptiystcal8]
eloctionic) I
ProdUd Oxiflj^fHlof
OrdBT Status /Order
Hbtory
Adwartlssment &
PmmoBon CapaMiias
Content Channels
Oownk»d CapatiBties
aenereis c;oord)nai«cr
Targatgd MossagM
{outbound amall)
n Fcuwns
(newsgrcups)
Manaosbmal Hai»pL
a Ofllivwy (inbouid
Comam Subacripttons
(iemptais basad
pubictma)
PAOs
Customer
Relstlanship Mgmt
Uaar Profila Mgml
(Actiwa Profiting)
OynamioBly PaciIItato
Cofnoiunliiea of Intares
MauhWab content to
spodllo usar pnifilaa
Cusiomer Fsactaack &
Suivays
AdmlnUlrativa
& Miscellaneous
Content Mgnit ft
Publishing Services
Cflpabflidaa
ContMRevlflwa
TaxHirtyRendailno
Education Sewloes
Curriculum Qenaratlon
Marttedng Colaiaral
Ra^starlortrainng/
Order TnlnlnB
Web Customer Servic b
Pfodbd RatfstfBUon
Wab B ased Sdl
Su|3poil / Knowladgs
Searoft f OlagnosUca
ureata a Manage
Sarvtoe Casas f
ConsUtinq Foaow»-up
unina suppon
(Cafl Canlar Tolaphony
InlBQraHon. Chat)
Returns & Warranty
Uianau* a Partner
Common Web
IntagraKon Capabilities
Locator uapabiitiea -~
Oianrd Paitnsra, Ed.
Cantaie
Miscellaneous Services
Search CapaMhlas
Pauiva Profiling
Wab Event utOG^ng
Directory Services
vaJimiKin. Monageminl
a Storage d Base Promt
Managsmera. & Sloraga
ol htetwottc Obiiact Data
iUlanagement &
Audllng a SiDng rsr Community a Role
Usage -(OMigfr^Mck)
Web Application
Stetfng
Web Developer
Web WtfloBoiT* '
' WebiSIaTeslingToob
Oevalapmeni Tod*
(performance a link
ffiorlptInQ and oodrMt)
spidam)
□ebugghg UtUities
Web AptJicaUon
Raviaion Control
Syaem
Figure 1N
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Web Architecture Framework
mediate Activities
LEGEND
RawwHJB (anlunei)
Ml |»uUtlilng bula ~ prt# tar a
Toit* k AMBb (wab life) TmI* « «a«ak iSaarO) « Opa) Taak 4
Security Services
Browssf Basdd
■Autnonii cation
V/CD -
AiLOkcaiion
Entiacnicnt
Woo Data
-t_ EntiOafToru
vinual Prtvus NMwoiki
Network Services
Wob Content CacNitg
Natwrwk Ot4ect Mgint
Hwnots Acoes
Sarvicaa
(RADIUS)
Rrawal Swvica
Internet Services
Randortng
Ria Trsnsfar Swvicas
(FTP)
Wgb Applcation Saiva
Sacura Bitwssr
Communtcatiofa - SSI
Email Transport
Saraces
Client Service!
Web Application Services
(piodueis & aaniioM)
Ordar Ptaoefnant
Compaia Produ c ts/
T ransadfaW Prooaaaind
CapaUWIaa (phyatetf 4
ti<t>cironic ucensa
[>sttiOu6on 4. ;
PRx&jct Confleurator
OnlarSttiusy Older
Prom oUon CapobUUas
LMd Oanaraflon &
Ratationship Mgmi
Dynantlcaly FadBtata
Match Wab oonlant to
spedSc usar prasia*
Customar FaaotMsk a
Sufvaya
On-iinan«cnjidno
Contant Mgmt ft
Publishing SarvloM
Contant Managamant
Copabiltes
Content Review ft
Tasttng Tools
Taxl-onty Raflda«fng
Raglatar
Older
rortnhino/
ttdarTfiMng
Product RogtstratJon
WabOasad \iM
Support / Kr owl edge
Seatch / DIaflroatics
\Hmi a Manage
Service Cases/
ConnjMno Fdlow-uo
Unhna Siuppori
(Call Canter Tdaphony
Inf gmtion. Chai)
RetufTU awananiy
PraaoiKre Service
Common Web
Data Acoaaa Adapiere
Integration CapaHlltlaa
an] paity iniagration
Human ResouicBs
IHbnani/Paymanii|
Locator capaanaaa "
Otamai Partners. Ed.
SUMmhaVldaoa
Wab gvwit Logging
Directory Services
Vaudaiion. Managafnenl
Mmigamant. & Storaga
Management &
AdmimstrBiiva Audttnc
Auddng & Billing ror
usage - (Ctiaft|»«ad(l
Comiminity & Role
Management
Log Arwiyds
CapabilUas
Wab Peilonnanca
Redundancy / Backup
Web Developer
Oevetopmont Tooia
(aalpttng and coding)
Web Uile lasting I odi
(perComanoa ft Ink
Figure IP
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Core Commerce Capabilities - Infrastructure Services
Core Papabilities Exjgting Capabilities
Legend: ■ Available Today
Core Capabilities
Existing Capabilities
□
□
□
□
□
□
□
□
□
□
□
□
□
□
□
Vertfles user Identity using bulK-in browser functionality
Maintains authentication infonnation thraughout sessions
Utilizm cenirailiocl dlredoiy of profDes
Pravidea LOAP compallbilily
Provides NDS Compatibility
Restricts a
I to specific web applications based upon user
Detemiines if a user or group of usere have paimisaion to
paifoim an operation in a specific applcatlon
Utilizes centraUzed directory of profiles for entidement data
Provides LOAP compatibility
Provides NDS compatibility
Restricts access to web content and data based upon user privileges
r or group of users liavs peimis^on to maripulata
tad, update, delete)
Ulillzea centralized directory of profiles for •nUUennent data
Provides LOAP compatibiltty
Provides NDS compatlbiiity
Stares frequently requested web pages and graphics In a temporaiy
Passes requests from external clients to Intemal web servers and reti
Serves as trusted agent to access intemal machines on the behalf of clients
Hides IP Addresses ot machines inside a firewail from external clants
Mss peimisslons
Spreads taslcs smong application seruere using and intellgeflt bad-
balance scheme (CPU utilization)
Provides a centralized task distribution mechanism for routing services
Identifies san«ra that are off>lino and re-route traffic
■
Protecta rssour
cee on a private netwoilt from use
IS of other networto
■
RlterB network
Iraftio based on security rotes
□
Provides alaim
notillcailon of attacks
■
Provides loggin
g and raporting functions
■
Provides port ai
nd traffic control
■
Senes raquasb
Bd web pages and graphics from \
veb ssnieis to ofient
□
web browsers
Supports page
randsring tor multi|te languages
■
Supports multiple content sources (file system, d<
itabases. scripts)
Provides encrypted communication with common web bra
Supports the Secure Sockets Layer protocol 2.0
Supports the Secure Sockets Layer protocol 3.0
Transfers files between computers on the Internet using the
File Transfer Protocol (FTP)
Stores files on a file system or database
n to manage access control for files on a FTP
■ Supports Common Qatsway tnterface (CGI) protocol
■ Supports Nstacaps* APf (NSAPQ protocol
□ Supports Mlorosofrs API (iSAPQ protocol
□ Provides altsmaUve to the inteiface mechanism that m
□ Executes web application logic
□ Utilizes user session infoimation to support IntsracUve
□ Provides scalability features
□ Provides fan-owar featurss
□ Provides application programming logic
Provides mechanism to note and remember one or more preceding
events in s ghnn sequence of interactions with the user or application
Tracks state and session mfomation
hianages multiple indapendeni sesskirts simultsneously acthre
Supports COent Cookies
Supports CUenl URL Encoding
Supports Server Information with Client Cookies
Supports Server Information with URL Session Identifiers
Provides adapter or mechanism to communicate and transfer
data at the functional level wHh Orads Rnanciala via API's
Supports OracleTs API sets for external IntegratkM
Supports Data Access Adapter capabiiaiee
Provides adapter or mechanism to eonnmunicate and transfer
data at the functtonal level with Siebel via API's
□ Supports S label's API sets for extemai integration
□ S upports Data Access Adapter capabilities
■ PrwMes adapter or mechanism to transfer transactional
infonnation to a hilfiUment house, payment processing center,
eirterprise resouroe planning system or onwrttdrd party
■ Provktos reporting and logging functions to detect
□ PfovWes adapter or meehaniam to communfcate with extemai systams
that provide addHionai content such aa catalog informatkin
□ Provides reporting and logging hincHons to detect communication errore
Figure 1Q
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PCT/USOO/14457
Business 1-Busines^ffiusiness3 Alliance
Customer Facing Web Architecture Framework
Legend
Network Servicea
Web Services
^lelnt Services
Web Application Services
Contsnt Channsls
SWsoai
tradwa
an«ou»
ShMlwIdirSmla^
1 On-Sm RMnjHng Lsgtl S*n<Mt
Cuatomer
Ral«Uanahip MgiTlt
Customsr Poadsacfc
Surveys
ContanI Mgmt A
B Services
Contsni Approval
ilalitia^
Taxt-onV Rondsrlno
Edueailon Servteaa
Corriojiun) Ganambafy
UaifcaUng C^laieral
Tnining Aoeouni SI
5
Pioduct Ragistretton
Wab aasfld Sdf
Support/ Knowiadga
Saaarft / Olaonostlr
Conaulling Poflow-up
RatumsAWananty
AppUcsUon Dola
StorBQS
Common Web Services
taitagratton Capabilities
Coll Canter Irrisgratioi
Salaa Forca intsgraUc
Directory
Management & Operations
Web Developer
Figure 1R
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PCT/USOO/14457
Businessi
Customer Fadng Web Architecture Framewofk
Legend
Wbb/^icaacnSerwices
(praij(t9&9an4oefi)
Oder Stats/ Odar
Cortart aiml^dcra
muknlKpMgnt
PUbBshingSefvlces
TvKrtyFmierirg
CapBbStas
Statfng & DmJoyirart
IMringAooouiSWM
Oomrran V^feb
OH CMv tit^Bfcn
Ofractoy Sendees
R/taragerrent &0^3eratians
Vfeb Developer Services
Figure IS
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Customer Fadng VWab ArcNtecture Framework
H f -
Networic Sefvices
>Afeb Services
n» Trarotar SeiMcaa
aient Services
WbbAppllcaiion
nsascsssr^sssnsssr
□ynamc Hendonng
Customer
CMnaRacnifng logfil Sstvicm
Corrtert Mgnrt &
PlibOahino Services
TsdSngToda
Cuntoiifn Qenorafcn/
TtiMng AoDCutt 9ikA
ProdxtRaEpetreDon
Web'UaaaaiMr
SaiviosCBoM/
(CBdCemsrTdcfshany
hmafwlai OTatl —
Sato* Fore* Intsjyaien
, ■ EPP' >JC-am I
Tssasrs^BBsssr
Qwnwl Rkitwiai, Ed
D rectory Services
M an agement AOpefallons
Web Developer Services
Figure IT
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Busine9a2 CDmrutations
CiBtoncr pKang vyfeb Afx:hitectuB FifannBVM3fk
Legend
Seojitv Servloe s
Netwofk Services
vyu> Services
atent Services
Vtfefa AppltcaUon Services
Cbrtmt dvuwwis
Adnri niatTalivo
AMscdtavous
OttaRmifinB
Riiiishina Ssrvkes
CDntanl\M)rMlaw
RagstsrlortarinB/
OdBfTtarino
TiririrgAomrtSkaus
WebQstnTwSavte
(CWOanarTdQ(trry
Qpfrnion VVbb Senrfoes
MaodlaneouaSMvtees
□redory Services
Management & G|)eratfons
Aulting & SiSngtor
Wbb Dw doper Services
Figure 1U
wo 00/73929
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PCT/USOO/14457
Figure IV
wo 00/73929
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CUatwcr Facing Web AitiitBCture TuiKiwcfk
Legend
Service
s
HI
NBtwofk Services
Vfeb Services
StaaASasdon
aientSeivioes
Web Appiicaticn Seivices
nodLolOaWs/^iacB
TransadonPnxsarg'
' Hi a>»(t* iyacd&
dadwrirt
EwQ«9kC&lercb(tng&
AtMristratlve
AM
AMshingSBntces
CLfTlalun Qawailcn/
OttJarTiatrirg
(CettOBniBrTdetlxrv
Cbmnon Vlfeb SbtvlOBS
^^'^Il^^^f^ (RiUrrwi/PDyiTm/
Cff*W
[Xrectory Services
Mragencfit & Operations
Ajtittina& SMng ftr
Miritcritx]C«pebliles
VWOApp.Mnn
V\feb DBveloper Services
U/UaSaYasinoTods
Broa&lrtt
Figure 1W
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PCT/USOO/14457
Business3
Qstomer Fadng Web ArcNtecture Ramevwofk
Legend ^[^^S
NBtwwDfk Services
l«MvD*OCi«*MgrTt
Ffarnb Access'
SavioBB
Wteb Services
Business
Services
WBbAppllcattonSBfvlccs
Qjoto(Pik»A
Avalttifiiy)
Prerratfon OvatiiiliM
AMaoetaneous
Oci'iini Myiil &
AibllshingS
CmGniRMav&
TadngTods
CbniaiumCenaretian /
R9|jsuriartrainnB/
Safvioe cases/
(ObM Canter Tdepfxny
liiUMaiigi.OgU —
IntBiyatiofi Qipflbllttlcs
Jrd party intflgralian
C^pebiittos (Ccnunt.
lanoaJ
{RiiOrroit/ Payrnant/
j jcaiDf apBMiites-
Sesfch CapetiDttes
aiBCtoryServloes
ManfiQ^msnt & Operations
Wab Den/eloper Servfoes
alDWHailiaiiadOMB
1
WebaielBsBnillods
AsBignrmil of Lber
ntOes to Ccmmrito
MniDringO^pBblUisB
Ftetndency/ Badojp
Capotiliies
WfcbApgfcadlcn
v«bA(Tllcedfon
OetMxjneUilitiBs
Nstwoik Msno^nsri
Figure 1X
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PCT/USOO/14457
Bustnessi
Custorrer f^actng Capabilities - Irtfrastructure Servloes
rssa ^™ ua^^
Legend
Cpi^capat# ig s
SanriiySeivfces
S<terdedDelai|
OofeCiaDebitftiea
■ VonKss user identity usir^buiHnbrtMBerhjnciionalhy
■ K^ntainsauthgnticalioninfcnTiEdiont^^
■ U1i2iBSoentral<2sddriectoryafpra(iles
a PteMictetJDAPcorrpedibility
□ ncMdasNDSconpelibili^
□ QD RastridsaixassbQpedik^webappilcatkxBba^
privileges
□ □□ DelenTinestf au8srorgroi43aJu3ereha«pemissKnto
p^omian operation in a g39dfc appfioation
□ □a Uitizesaentr^i2BddiBctoryofprDj9estoreni^^
□ O O PtowtestDAP oorrpaSbilily
ODO PtortdesNDSoaTpatibffiV
□ ResbicisaocdssiowsboontemandctasabeaedMponuse^
prMiagas-
□ □a OMrraHauserorgta^pafuseralWdpemffeBionto
nfriputeto viebdbta(cnaats. raact upcfalB. datsteO
□ Utt ltti M (aiaai i2 ed drectofy df proflea far wi li tenai a dbia
□ FtaMdteLOAPaxrpasibility
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tntetTtgent ioad^slanos sBhemstag., CPU
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□ □ Steves frac^£r%raqMBstedviiebpaoassndgne|^
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custcxreis get Caster seivios Mpon reqjesQ
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Client2 Application Server
Builder
Figure 1Z
Client! Application Sender
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Figure 1AA
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Client2 ECXpert
Order
Management
MaAagemeiK
Manageinent
Managenieni / -^i
ECXpert
Tradrng
VAN
^ctner C
Trading |l (
integration VMIlti Eft^ Systems
dateway Ed tm VA^Is
Figure 1AB
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aient2 ECXpert
Service
User Interface
CGirJavd/HTML
Service Re<pie«t Moodier
Handler
\
Business
AppKCdSCtfi
1
Non-ECX
Tfcinslftton
ECX
Mopping/
Published API
Database
TCP/IP So<Ket& API
Figure 1AC
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ClientZ SellerXpeH
Figure 1AD
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ClientZ PublishingXpert
End users
(any browser with cooMss)
1
Ti. O Administrators
Communicator 4.0x
traas
Starch E-maN Paraonal
IntarfKa
PSUMr IRSMSJraAl^
Payment and Billing
^ ■ — N
Publlca-
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HTML
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JFrbntTEnd-Seroer ;
Payment and Biliing
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Clientl NetDynamics
Any- tta-jisnt roquc^tii a
Tha Wob 9erv«r iui!ir:C3 Coldfusion
(3) ColCFusion prxx»9»«F Iho
dyitomio'tkago based on tho CFML tbQS
^ Tha Wab«mr sends ihoHrMLp^
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Oientl Internet Mail Server
maj|j^.nel
Prosy 1
»
Server 1
Proay 2
Server 2
*
Figure 1AG
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Clientl Internet News Senrer
Manager
Connection
lulanagsr
Con nectlon
Manager
Connection
Manager
Figure 1AH
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Clientl Personal Web Access Browser
Figure 1AI
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Clientl Directory Services
Figure 1 AJ
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aientlJavaWallet
JECF cassettes developed
bypartners/ISVs
Figure 1AK
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ClientlScreen Product Suite
Figure 1AL
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Solaris ISP Server Bundle
Figure 1AN
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Development & Testing Tools
Figure 1AO
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Figure 2C
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300
. Security Management/
^ 304
306 -..^
\ 1 \
1 \
. : ' Security Project &.PIanhing ;
Business]^Pro6ess Se'curH^
Maintain user access to systems
and applications.
Implement and maintain security
administration tools
Analyze seoirity logs and
investigate security violations
Configure security systems on all
technology platforms
Threat/Risk Assessment
Design and integrate security
into new technology/systems
Develop and maintain security
policies and procedures
Develop and maintain the
disaster recovery plan
Develop and maintain user
awareness plan, and provide
security training for users
Define functional requirements
Define and monitor key security
performance indicators for
iMjsiness processes
NAtork with audit and engineering
to develop and improve
iHisiness process controls
Figure 3
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400
^ Environment
"Management Team '
402
Operate Dev. Enyirdhnrtent-
Backups
Preventative maintenance
Database reorganization
Resource management
Dally operations
Repository operations
Equipment installation
Network operations
System software
operations
Service Developers
Execution Architecture Support
Development Architecture Support
Operations Architecture Support
Network Support
Tool Support and Training
Technical Standards Support
Developers Help Desk
Performance Monitoring
Design Review
General Technical Support
IS Liaison
Figure 4
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500
502
: Application
Architecture
Application
rjQevelopment
.^WolrkCelM .
Application-
Development^^
WorkCeirS 1
•Common code/
component design &
construction
•Technical standards
design/ documentation
•Code/component
reuse coordination
•Security
•Detailed design
•Media content design
•Coding
•Usability
•Security
•Component testing
•Assembly testing
•SIR resolution
•User procedures
•User training development
•Test planning
•Test execution
•SIR
•Management
•Security
Figure 5
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User Acceptance Test
System Test
Assembly Test
Application Development
& Unit Test
Architectufe System
Test
Architecture Assembly
Test
Application Development
& Unit Test
Figure 6
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Figure 7
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800
Figure 8
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900
Figure 9
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216
218
214
1004
1002
212
1006
202
Figure 10
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Figure 11
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Figure 12
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1322
1360
Figure 13
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1500
FACILITATING PURCHASE OF AT LEAST ONE 6f PRODUCTS AND SERVICES VIA A
DISPLAYED CATALOG
1502
OUTPUTTING DATA RELATING TO AT LEAST ONE OF THE PRODUCTS AND SERVICES
1504
OUTPUTTING A COMPARISON BETWEEN DIFFERENT PRODUCTS AND SERVICE^^s^
RECEIVING DATA RELATING TO USER REQUIREMENTS AND OUTPUTTING A
RECOMMENDATION OF AT LEAST ONE OF THE PRODUCTS AND SERVICES BASED
ON THE INPUTTED DATA
1506
150
SELECTING FEATURES OF AT LEAST ONE OF THE PRODUCTS AND SERVICES
BASED ON A USER PROFILE
ADVERTISING AT LEAST ONE OF THE PRODUCTS AND SERVICES
1510
1512
OUTPUTTING AN ESTIMATE RELATING TO AT LEAST ONE OF A PRICE AND AN
AVAILABILITY OF AT LEAST ONE OF THE PRODUCTS AND SERVICES
1514
1516
PROCESSING AN ORDER FOR AT LEAST ONE OF THE PRODUCTS AND SERVICES
CALCULATING AT LEAST ONE OF A TAX AND A SHIPPING FEE FOR AT LEAST ONE OF
THE PRODUCTS AND SERVICES FOR WHICH THE ORDER IS PROCESSED
OUTPUTTING A STATUS OF DELIVERY FOR AT LEAST ONE OF THE PRODUCTS AND
SERVICES FOR WHICH THE ORDER IS PROCESSED
1518
1400
Figure 15
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/
DISPLAYING A PLURALITY OF ITEMS FOR PURCHASE y
1600
ALLOWING A USER TO SELECT A PREDETERMINED SET OF THE ITEMS FOR
PURCHASE
1602
r
ACCEPTING PAYMENT IN EXCHANGE FOR THE PREDETERMINED SET OF ITEMS
1604
STORING THE PREDETERMINED SET OF ITEMS .
1606
r
ALLOWING THE USER TO COLLECTIVELY SELECT THE PREDETERMINED SET OF
ITEMS AT A LATER TIME WITHOUT HAVING TO SELECT EACH OF THE ITEMS
INDIVIDUALLY
)
Figure 16
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1610
1611
DISPLAYING A PLURALITY OF ITEMS FOR PURCHASE
1612
DETERMINING A SET OF FEATURES OF THE SIMILAR ITEMS
1613
UTILIZING THE USER PROFILE TO DETERMINE A HIERARCHY OF THE
FEATURES
1614
PRESENTING THE FEATURES IN A PRIORITIZED MANNER IN
ACCORDANCE WITH THE HIERARCHY
1615
1504 '
Figure 16A
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PREASSOCIATING THE FEATURES WITH FEATURE KEYWORDS
1620
A COMPARISON OF THE FEATURES BASED ON KEYWORD TAKEN FROM /
THE CUSTOMER'S PROFILE
1621
GIVING A FEATURE PRIORITY WHEN A KEYWORD INPUT BY THE USER
MATCHES A FEATURE KEYWORD,
1622
GIVING FEATURES WITH FEATURE KEYWORDS HAVING MULTIPLE
MATCHES HIGHEST PRIORITY AND RANKING THE FEATURES
ACCORDING TO THE NUMBER OF MATCHES
1623
ANALYZING THE USER'S WORDS USING A THESAURUS TO FIND
KEYWORD MATCHES IF NO KEYWORDS MATCH
1624
Figure 16B
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1702
REVIEWING AVAILABLE PRODUCTS
1704
GENERATING AT LEAST ONE RECOMMENDED SOLUTION BASED ON THE USER ^^^^
REQUIREMENTS
DISPLAYING THE AT LEAST ONE RECOMMENDED SOLUTION
1708
ACCEPTING PAYMENT IN EXCHANGE FOR THE AT LEAST ONE SOLUTION
Figure 17
1710
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1720
PREASSOCIATING ITEMS WITH KEYWORDS
SELECTING ITEMS BASED ON KEYWORD TAKEN FROM THE USER
INPUT
1721
DISPLAYING AN ITEM WHEN A KEYWORD INPUT BY THE USER
MATCHES A KEYWORD ASSOCIATED WITH THE ITEM
1722
IF NO KEYWORDS MATCH. ANALYZING THE USER'S WORDS USING A /
THESAURUS TO FIND KEYWORD MATCHES
1723
Figure 17A
1706
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DISPLAYING A PLURALITY OF ITEMS FOR PURCHASE, WHEREIN EACH OF THE ITEMS
INCLUDES A PLURALITY OF AVAILABLE FEATURES
1802
DISPLAYING THE AVAILABLE FEATURES OF THE ITEMS
1803
ALLOWING A USER TO SELECT THE AVAILABLE FEATURES OF EACH OF THE ITEMS
TO BE PURCHASED
1804
DETERMINING A PRICE AND AVAILABILITY OF THE SELECTED ITEMS AND THE
SELECTED FEATURES THEREOF AND DISPLAYING THE SAME
1806
ACCEPTING PAYMENT IN EXCHANGE FOR THE SELECTED ITEMS AND THE
SELECTED FEATURES THEREOF
1808
Figure 18
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1902
DISPLAYING ADVERTISEMENT INFORMATION WHICH RELATES TO AT LEAST ONE OF
THE ITEMS DISPLAYED FOR PURCHASE
1903
ALLOWING A USER TO SELECT THE ITEMS FOR PURCHASE
1904
ACCEPTING PAYMENT IN EXCHANGE FOR THE SELECTED ITEMS
1906
Figure 19
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PREASSOCIATING ADVERTISEMENTS WITH INDIVIDUAL ITEMS OR WITH
ENTIRE CLASSES OF ITEMS
1910
AUTOMATICALLY DISPLAYING ONE OR MORE OF THE
ADVERTISEMENTS WHEN THE ITEMS ARE SELECTED FOR DISPLAY
1911
ROTATING THE ADVERTISEMENTS SO THAT EACH GETS AN EQUAL
AMOUNT OF DISPLAY TIME. OR ACCORDING TO THE PREMIUM PAID BY
THE ADVERTISER
1912
/ Figure 19A
1903
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CREATING A USER PROFILE FROM INFORMATION ABOUT A USER
SELECTING AT LEAST ONE ITEM FOR PURCHASE BASED ON THE USER PROFILE
DISPLAYING THE AT LEAST ONE ITEM FOR PURCHASE
ALLOWING THE USER TO SELECT THE AT LEAST ONE ITEM FOR PURCHASE
ACCEPTING PAYMENT IN EXCHANGE FOR THE SELECTED ITEM
Figure 20
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ALLOWING A USER TO REQUEST TO UTILIZE A SOFTWARE PACKAGE ^1 02
2104
RECEIVING THE USER INPUT RELATING TO THE USER
2106
1
r
GENERATING A LICENSE AGREEMENT UTILIZING THE USER INPUT
2108
f
SENDING THE LICENSE AGREEMENT TO THE USER
Figure 21
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2110
SETTING FORTH THE TERMS OF THE LICENSE AGREEMENT
2111
SETTING FORTH LICENSOR IDENTIFICATION INFORMATION
2112
SETTING FORTH LICENSEE (USER) IDENTIFICATION INFORMATION
VERIFYING IDENTIFICATION
2113
Figure 21A
2108
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2200
DOWNLOADING DAtA
2202
TRANSMITTING DATA BASED ON USER SPECIFICATIONS
2204
PROVIDING A PLURALITY OF NEWSGROUPS TO WHICH USERS SUBSCRIBE
OUTPUTTING ANSWERS TO FREQUENTLY ASKED QUESTIONS RELATING TO THE
CONTENT-RELATED WEB APPLICATION SERVICES
2206
220
ENABLING REAL TIME COMMUNICATION BETWEEN A PLURALITY OF THE USERS
COORDINATING THE TRANSMISSION OF ELECTRONIC MAIL
2210
2212
ORGANIZING RECEIVED ELECTRONIC MAIL
2214
PROVIDING A PLURALITY OF TEMPLATES FOR PUBLISHING DATA IN VARIOUS
FORMS
1402
Figure 22
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2300
MANAGING PROFILE DATA OF A FM.URALlPi' OF USERS
2302
PROVIDING INFORMATION OF INTEREST TO EACH USER BASED ON THE PROFILE
DATA OF THE USER A)
2304
PROVIDING INFORMATION OF INTEREST TO A PLURALITY OF USERS HAVING
SIMILAR PROFILE DATA
COLLECTING FEEDBACK FROM THE USERS ON THE PROVIDED INFORMATION
2306
230
PROVIDING A SERVICE SELECTED FROM A GROUP OF SERVICES INCLUDING:
MAINTAINING A CALENDAR OF UPCOMING EVENTS. REMINDING THE USERS OF THE
UPCOMING EVENTS. AND ALLOWING REGISTRATION OF THE USERS FOR THE
UPCOMING EVENTS
1406
Figure 23
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2310
DEVELOPING A USER PROFILE
2311
DISPLAYING AN ITEM FOR PURCHASE WITH A SET OF FEATURES
CUSTOMIZING THE PRESENTATION OF THE SET OF FEATURES BASED
ON THE USER PROFILE
2312
ALLOWING A USER TO SELECT THE ITEM FOR PURCHASE
2313
2300
Figure 23 A
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COLLECTING USER INFORMATION SUCH AS SEARCH REQUESTS,
SHOPPING EVENTS, AND BROWSING HABITS
2320
PLACING ALL OF THE USER INFORMATION IN A DATABASE FOR
RETRIEVAL WHEN NECESSARY
2321
ESTIMATING A USER'S BUYING PATTERN FOR A PARTICULAR TYPE OF
ITEM EACH TIME A USER USES THE SYSTEM
2322
LOGGING THE USER'S CURRENT ACTIVITIES AND ENTERING THEM /
INTO THE DATABASE
2323
/ Figure 23B
2310
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DEVELOPING CONTENT OF A DATA INTERFACfe FOR ACCESSING DATA ON A
NETWORK
2400
2402
MANAGING THE CONTENT OF THE DATA INTERFACE
2404
APPROVING THE PUBLICATION OF THE CONTENT BEFORE TRANSMISSION OF THE_
CONTENT
TESTING THE CONTENT OF THE DATA INTERFACE
2406
1408
Figure 24
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-cr-
2500
GENERATING A CURRICULUM OF COURSE OFFERINGS
2502
ALLOWING THE SELECTION OF THE COURSE OFFERINGS
2504
EDUCATING USERS OVER A NETWORK
2506
DISPLAYING A STATUS OF THE EDUCATION OF THE USERS INCLUDING AT LEAST
ONE OF THE COURSES COMPLETED AND SCORES FOR THE COURSES COMPLETED
1410
Figure 25
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ALLOWING A USER TO REVIEW EDUCATIONAL PROGRAM OFFERINGS
2510
2511
PROMPTING THE USER TO ENTER USER INDICIA
RECEIVING THE USER INDICIA
2512
2513
GENERATING A USER PROFILE BASED ON THE USER INDICIA
GENERATING AN EDUCATION CURRICULUM BASED ON THE USER /
PROFILE
2514
Figure 25A
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GENERATING THE EDUCATION CURRICULUM BASED ON THE CURRENT
EXPERTISE
2520
RECEIVING STUDENT DEFINED TRAINING GOAL, SUCH AS A SPECIFIC
CERTIFICATION OR DEGREE (ADDITIONAL USER INDICIA),
2521
2522
TAKING THE TRAINING GOAL FROM THE STUDENT PROFILE
GENERATING THE EDUCATION CURRICULUM TO FULFILL THE TRAINING /
GOAL
2523
\
2513
MONITORING THE STUDENT'S PROGRESS AND PRODUCING REVISED
EDUCATIONAL CURRICULUMS
Figure 25B
2524
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W i. I V-
2600
ALLOWING REGISTRATION OF^A PRODUCT
2602
PROVIDING SUPPORT INFORMATION ON THE PRODUCT BASED ON QUERIES
HANDLING CLAIMS RELATING TO THE PRODUCT
2604
AUTOMATICALLY NOTIFYING USERS OF AT LEAST ONE OF UPGRADES AND
PROBLEMS RELATING TO THE PRODUCT
2606
1412
Figure 26
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-t-i *— ^-
PROVIDING COMMERCIAL OFFERINGS FOR A USER TO REVIEW
2610
ALLOWING THE USER TO SELECT FROM THE COMMERCIAL OFFERINGS
2611
PROMPTING THE USER TO ENTER USER INDICIA
2612
RECEIVING THE USER INDICIA
2613
COMPLETING SALE AND DELIVERY OF THE COMMERCIAL OFFERINGS
2614
MONITORING THE STATUS OF THE COMMERCIAL OFFERINGS UTILIZING
THE USER INDICIA
2615
COMMUNICATING WITH THE USER THE STATUS OF THE COMMERCIAL
OFFERINGS
2616
2606
Figure 26A
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ALLOWING BROWSER-BASED AUTHENTICATION WITH USER /
VERIFICATION DATA
2700
GRANTING ACCESS TO AT LEAST ONE OF APPLICATION AND SYSTEM
DATA BASED ON THE USER VERIFICATION DATA
2702
2704
Figure 27
1414
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2800
CACHING CONTENT OF A^NETWORK
2802
PROVIDING APPLICATION PROXY SERVICES ON THE NETWORK
2804
MANAGING RESOURCES OF THE NETWORK
MANAGING NETWORK OBJECTS ON THE NETWORK
2806
CONTROLLING AT LEAST ONE OF BANDWIDTH AND SPEED OF THE NETWORK
280
ENABLING REMOTE ACCESS SERVICES ON THE NETWORK
2810
2812
AFFORDING FIREWALL SERVICES ON THE NETWORK
Figure 28
1416
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PCT/USOO/14457
PROVIDING HTTP PAGE RENDERING OVER A NETWORK FRAMEWORK
ENABLING SECURE BROWSER COMMUNICATION OVER THE NETWORK
FRAMEWORK
AFFORDING ELECTRONIC MAIL TRANSPORT SERVICES OVER THE
NETWORK FRAMEWORK
PROVIDING FILE TRANSFER SERVICES OVER THE NETWORK
FRAMEWORK
GATHERING AND LOGGING INFORMATION OF ONLINE EVENTS DURING
ONLINE SESSIONS OVER THE NETWORK FRAMEWORK
INTERFACING APPLICATIONS VIA PREDETERMINED PROTOCOLS OVER
THE NETWORK FRAMEWORK
Figure 29
1418
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MANAGING CLIENT VERIFICATION DATA FOR USE^ AUTHENTICATION PURPOSES IN
A NETWORK FRAMEWORK
3000
3002
PROVIDING ELECTRONIC MAIL CAPABILITIES IN THE NETWORK FRAMEWORK
3004
ENABLING NETWORK FRAMEWORK BROWSING IN THE NETWORK FRAMEWORK/^so
OUTPUTTING ANSWERS TO FREQUENTLY ASKED QUESTIONS RELATING TO THE
CONTENT-RELATED WEB APPLICATION SERVICES
3006
300
PROVIDING NEWS READER CAPABILITIES IN THE NETWORK FRAMEWORK
AFFORDING CHAT ROOM CAPABILITIES IN THE NETWORK FRAMEWORK
3010
3012
ENABLING PLAYBACK CAPABILITIES IN THE NETWORK FRAMEWORK
PROVIDING FINANCIAL TRANSACTIONAL CAPABILITIES IN THE NETWORK
FRAMEWORK
3014
1420
Figure 30
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PROVIDING DATA ACCESS FROM MULTIPLE SIMULTANEOUS DATA
SOURCES OVER A NETWORK FRAMEWORK
3100
3102
Figure 31
1424
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INTEGRATING FINANCIAL SYSTEMS OVER A NETWORK FRAMEWORK
IMPLEMENTING SALES FORCE INTEGRATION OVER THE NETWORK
FRAMEWORK
COMBINING HUMAN RESOURCE SYSTEMS OVER THE NETWORK
FRAMEWORK
INTEGRATING CALL CENTERS OVER THE NETWORK FRAMEWORK
1422
Figure 32
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3300
PROVIDING LOCATOR CAPABILITIES OVER A NETWORK FRAMEWORK
TRANSMITTING AT LEAST ONE OF STREAMING VIDEO AND AUDIO DATA
OVER THE NETWORK FRAMEWORK
3302
LOGGING EVENTS OVER THE NETWORK FRAMEWORK
3304
PASSIVELY MANAGING USER PROFILE INFORMATION OVER THE
NETWORK FRAMEWORK
3306
1426
Figure 33
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VALIDATING USER PROFILE DATA IN A SYSTEM
3400
3402
MANAGING THE USER PROFILE DATA IN THE SYSTEM
STORING THE USER PROFILE DATA IN THE SYSTEM
3404
MANAGING NETWORK OBJECT DATA IN THE SYSTEM
3406
STORING THE NETWORK OBJECT DATA IN THE SYSTEM
340
ASSIGNING OF COMMUNITY PROFILE DATA TO A COMMUNITY INCLUDING A
PLURALITY OF USERS IN THE SYSTEM
3410
VALIDATING COMMUNITY PROFILE DATA IN THE SYSTEM
MANAGING THE COMMUNITY PROFILE DATA IN THE SYSTEM
STORING THE COMMUNITY PROFILE DATA IN THE SYSTEM
3412
3414
3416
1428
Figure 34
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3500
AUDITING ADMINISTRATIVE DAf A IN A SYSTEM
3502
ANALYZING DATA FROM LOG FILES IN THE SYSTEM
3504
MANAGING RULES AND POLICIES IN THE SYSTEM
AUDITING USAGE IN THE SYSTEM
3506
BILLING FOR THE USAGE IN THE SYSTEM
350
MONITORING PERFORMANCE IN THE SYSTEM
1
MANAGING COMMUNITIES OF USERS IN THE SYSTEM
3512
PROVIDING BACKUP CAPABILITIES IN THE SYSTEM .
3514
r
PROVIDING NETWORK APPLICATION STAGING IN THE SYSTEM
3516
1430
Figure 35
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PROVIDING DEVELOPMENT TOOLS FOR SYSTEM APPLICATIONS
3600
3602
CONTROLLING THE GENERATION OF REVISIONS OF THE SYSTEM /
APPLICATIONS
3604
3606
1432
Figure 36